documents as prescribed by the SEC. In this regard, the applicant may examine the list of the required documents for the SEC’s consideration in Form 35 – HK-TH MRF: Checklist for Mutual Recognition of Funds
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
writing with an approval from the company’s board of directors and shall contain at least the following details: (a) system for the calculation of capital adequacy according to standard required by the
adequacy according to standard required by the Office, or any other higher standards approved by the Office; (b) the limit of derivatives position (position limit) held by the company at any time considering
TRANSLATION) (a) system for the calculation of capital adequacy according to standard required by the Office, or any other higher standards approved by the Office; (b) the limit of derivatives position
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
loan),the share purchase price shall be decreased in order to maintain the total amount of share purchase price and Director’s Loan in the limit of THB 315,000,000 at the time of the ownership of such
as required by the SEC Office. Clause 4 The particular on the authority, duties and responsibilities of the management company shall contain at least the material information as follows: (1) provision
(1) and (3) as well as the following information: (1) The required amount of the initial margin and maintenance margin. If the derivatives broker require different amount of initial margin and