rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and referable source; (2

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established

private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company

this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the

responsibilities of the management company (2) Types, rates and procedure for collecting of fee, other remuneration or expenses for management of the private fund. In case where the fee is collected according to the

- 2 - สิ่งที่ส่งมาด้วย - ตัวอย่างการคิด company limit ตัวอย่าง : บลจ. A ทำธุรกรรม reverse repo กับคู่สัญญา B ทั้งสิ้น 3 ธุรกรรม โดยใช้ตราสารหนี้ ของบริษัท ( ( และ ( ตามลำดับ ทั้งนี้ มูลค่าธุรกรรมและ

Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with

Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as

Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as