. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
Companies Report Forms Outsourcing Activities Appointment of an Investment Advisor (IA) according to Section 100 Securities Business Derivatives Business 1. Securities brokerage 1
assets 6.4 Mutual fund with a one-time investment strategy (Buy-and-Hold Funds) 6.5 Announcement of the NAV 6.1 Closed-end funds (1) Calculate the NAV and investment unit value at the end of every
-end funds 6.2 Open-end funds 6.3 Mutual fund with investment in foreign assets 6.4 Mutual fund with a one-time investment strategy (Buy-and-Hold Funds) 6.5 Announcement of the NAV 6.1 Closed
; 3. Placing a securities selling order while being aware that oneself or an associate has made an order to buy the same securities or will do so at a similar amount and a similar price within a
; 3. Placing a securities selling order while being aware that oneself or an associate has made an order to buy the same securities or will do so at a similar amount and a similar price within a