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...
members and involved persons to test and review such default procedures and process at least once a year; (4) in cases where clearing is done through a commercial bank, determine criteria for choosing a
by a foreigner, the intermediary shall comply with the following additional rules: (1) selecting a foreigner who has credibility and capability to provide consultation of investment and is permitted to
providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
-margin products as well as selecting products that better meet the needs of customers. With proven improved performance of all the 3 upgraded stores, the Company plans to follow the model with other stores
procurement of benefit, specify policy and procedure of selecting real estate’ leasees and supervision of property manager to choose real estate’ leasees in pursuant with such policy and procedure; 9.6 Property
, due to the efficiency of the fund managers in selecting or finding an appropriate timing to invest in securities. Beta refers to the level and direction of changes in the rate of return of securities in