generally announced its opening hours. The management company may temporarily accept purchase or sales orders outside the head office or a branch office. The management company shall prepare a report
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management contract, the
is granted prior to making such transaction. Nevertheless, this provision does not include the case where the mutual fund intends to purchase shares of the mutual fund management company, which is
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
) “prospectus” means a prospectus which is identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing
. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September