held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the

same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an

responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline

Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In

or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund

, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt

regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation

form through the business operator reporting system in accordance with the SEC Office of the Securities and Exchange Commission’s rule on the electronic data interchange, unless otherwise permitted by