and reconciliation of private fund assets to ensure accuracy and completeness; (d) System for asset inventory demonstrating details and amount of private fund assets and records of acquisition and

, management company shall specify such details in the private fund agreement. Clause 18. Affiliated Transaction for mutual fund as the following cases, mutual fund management company shall provide monthly

case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their

sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order for the Office or

(2) The customers’ consent must be obtained or specified in the details of the mutual fund scheme in case of a private fund or mutual fund, as the case may be. In the designation for investment

/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange

may arise from such investment policy; (3) details on the management fee that the management company will receive for managing the private fund and mutual fund or trust. Clause 14 3 In seeking the

securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 10. For an advertisement related to a promotion which provides investors who invest in

fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a

Investors and Private Funds ___________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008