to do so but only to the extent that it is done in good faith. For the purpose of protecting the trust property, the SEC shall have the power to issue notifications prescribing rules, conditions and
16/2. Each board member appointed by the Minister shall be Thai national and shall not possess any prohibited characteristics in accordance with Section 9 and shall not be director, manager, person
Establishment of Company under the law of the jurisdiction where such foreign ETF is established – in case of foreign ETF established by an investment company; or [ ] (b) Trust Instrument or Trust Agreement – in
characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
entitlement in property held on trust by a derivatives business operator for its customer with a view to delivery or as a result of acceptance of delivery under derivatives transaction for the account of a
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...
professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
: ________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal form of NRI CIS: Legal entity Unit trust Any other structure acceptable to participating jurisdictions 5) Type
any securities, which is not limited to debt securities or the units ; (3) brokerage, dealing or underwriting of units which: (a) has investment in or possess securities for the investment of the
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited