outstanding investment units and in which the person under (1) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual
formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days from the day the testing is completed. Clause 36 In
market products based on an automated program that runs product selection and trading placement without interference throughout the transaction process. “ intermediary ” means: (1) securities business
selection and trading placement without interference throughout the transaction process. “intermediary” means: (1) securities business operator in the category of securities brokerage or investment advisory
selection and trading placement without interference throughout the transaction process. “intermediary” means: (1) securities business operator in the category of securities brokerage or investment advisory
) evaluated by a person with required knowledge and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of
บติัตามหลกัเกณฑก์ารก ากบั ดูแลประกอบดว้ย1 2.4 จดัใหมี้ขั้นตอนการปฏิบติังานรวมถึงมาตรการในการก ากบัดูแลและการบงัคบัใชก้ฎหมาย1 ท่ีสามารถป้องกนัการแทรกแซงจากการเมือง (political interference) หรือกลุ่ม
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...
shall administer and manage a fund with responsibility, due care and loyalty for the interest of the unitholders including acting in compliance with the law, the fund project, the commitment between the
the proceeding of an established fund in Part 2; (3) the administration and management of a fund in Part 3. Clause 5 A management company shall administer and manage a fund with responsibility, due care