investment units, or [ii] suitability of making such transaction. Division 2 Appointment of marketing representative of private fund ___________________ Clause 10 In appointing a natural person to be a
management company for execution; (4) providing consultation relating to [i] selling or redeeming investment units, or [ii] suitability of making such transaction. Division 2 Appointment of marketing
well. Division 7 Cross-border communication In case where a intermediary has a transaction or a service usage from a foreign service provider, a intermediary should have an effective plan for
SEC to acknowlege as well. 5 Division 7 Cross-border communication In case where a intermediary has a transaction or a service usage from a foreign service provider, a intermediary should have an
repayment term is short; (3) The ratio of such borrowing or repurchase agreement must be appropriate to the necessity of the temporary liquidity management; and (4) The transaction of repurchase agreement
liquidity management; and (4) The transaction of repurchase agreement shall be in conformity to the standard format as acceptable to the Office. This shall be in accordance with the rules, conditions and
management; and (4) The transaction of repurchase agreement shall be in conformity to the standard format as acceptable to the Office. This shall be in accordance with the rules, conditions and procedures as
) มีเจตนารมณ์เพื่อช่วยประหยัด transaction cost ให้กับกองทุนที่ทำธุรกรรม อย่างไรก็ดี การทำธุรกรรมดังกล่าวยังคงต้องอยู่ภายใต้หลัก (1) best execution (2) ความจำเป็นและเป็นประโยชน์ กับกองทุน (3) at arm’s
(cross trade) มีเจตนารมณ์เพื่อช่วยประหยดั transaction cost ใหก้บักองทุนท่ีท าธุรกรรม อยา่งไรก็ดี การท าธุรกรรมดงักล่าวยงัคงตอ้งอยูภ่ายใตห้ลกั (1) best execution (2) ความจ าเป็นและเป็นประโยชน์ กบักองทุน (3