: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21

the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

. This Act shall not apply to the following: (1) any off-exchange derivatives contract of which the obligation for payment is calculated from any foreign exchange rate or interest rate; (2) any contract to

to the rules specified in the notification of the SEC Office. SECTION 32 A trustee shall be prohibited to set off the obligation arising beyond the performance in trusteeship owed by the trustee to a

ตรงกัน สำนักงานจึงขอซักซ้อมความเข้าใจในเรื่องต่าง ๆ ดังนี้ (1) การกำหนดเวลาในการรับคำสั่งซื้อขายหน่วยลงทุน (“cut off time”) บริษัทหลักทรัพย์จัดการกองทุน (“บลจ.”) และบริษัทนายหน้าซื้อขาย หน่วยลงทุน

taking place off the working hours of the intermediary, it shall be deemed that the intermediary has received the insistence on such transaction on the following business day; (2) it shall be deemed that

securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action