available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30
and a minimum of 10 million baht in paid-up capital will also be applicable. Meanwhile, annual license fee will be lowered for the all Type D licenses brokering at least 3 types of the investment unit
personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each
(Unofficial Translation) 1. Human resources planning of each unit should demonstrate the adequate amount of personnel for each unit especially for the investment management division which should have at least 2
and relevant employees at least once a year about the following law, regulations, and documents: (1) the law on securities and exchange2, and any regulations issued by virtue of such law; (2) the codes
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent