securities business in the category of private fund management. Parties shall be regarded as the juristic entities under the same business group under the first paragraph if: (1) The party that manages funds
former trustee or exercise the rights and duties jointly with the surviving trustee, as the case may be, and become a co-party in a lawsuit or a party to whom the court’s judgment is bound, when the new
clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to
than one entity. Name of a qualifying delegate and sub-delegate (if any): _______________________________________________________________________ Economy(-ies) of a qualifying delegate and sub-delegate
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party _____________________ By virtue of Section 16/6 and Section 113
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of