this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
Services Related to Mutual Fund and Private Fund Management dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund
) “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; (7) “Specified property fund” means any mutual fund which
the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to
repayment as well as collateral in case of any service required property for assurance; (3) other information which include the following information: (a)( financial status and asset profile in case of any
derivatives trading; (c) [derivatives] trading information of the client and information on trading of the underlying asset by the client; (d) the information specified under (a), (b) and (c) of direct or
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน