business group, disclose information of the shareholders of the central company, the subsidiary operating the core business not under the central company and the subsidiaries within the group of the central

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

, 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

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

and lending (SBL); “Central securities depository” means any central securities depository under the law on securities and exchange; “Depositor” means a person approved by the central securities

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

of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a

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

for selecting an analysis/a research to support an investment decision. (4) Prescription of criteria in selecting each asset/group of asset to be actively or passively* invested in order to reduce risk

secondary market) มีความเป็นธรรมต่อลูกค้า เช่น - กรณีที่มีการส่งคำสั่งซื้อขายผ่านระบบ central dealing และเวลาในการ ส่งคำสั่งเกิดขึ้นในช่วงเวลาเดียวกัน บริษัทต้องส่งคำสั่งซื้อขายให้ลูกค้าก่อนด้วยราคาที่ดี