(5)) |- Proprietary Trading |- Other Business Undertaken by Securities Companies |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and
securities business in the category of investment management; “State agency” means central administration, regional administration, local administration, financial institutions development fund, Bureau of
develop securities business in the category of investment management; “State agency” means central administration, regional administration, local administration, financial institutions development fund
; “State agency” means central administration, regional administration, local administration, financial institutions development fund, Bureau of Crown Property and other agency as specified by the Office
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
Management Agreement). However, PD is in the process of negotiating terms and conditions of Property Management Agreement. (D) Approved the sub-lease and service of certain roads in the BFTZ Approved PD to
Bangkok, October 24, 2014 ? The SEC and the Faculty of Business Administration, National Institute of Development Administration (NIDA) co-organized the ?4th SEC Working Papers Forum,? under the
or in part, without the prior written consent of Morningstar is prohibited. The Morningstar Investment Management division is a division of Morningstar and includes Morningstar Associates, Ibbotson
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
(Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section