procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment units of any scheme, should any of the

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

of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For

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

Market Supervisory Board thereof, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8

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

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

by diversifying investment with the understanding of the return and risk of each asset/group of asset . In this regard, there should be a monitoring system to ensure the conformity with the investment

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