Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
, the appointment of third parties, such as other intermediaries , financial institutions or affiliated companies in the group of financial business who have readiness in personnel and operating system
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
Securities and Exchange Act B.E. 2535 (1992) or Section 23 of the Derivatives Act B.E. 2546 (2003) ; (2) possessing the prohibited characteristics in Group 1 under Clause 29 or in Group 2 under Clause 30