under (1); (3) in announcing the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual fund, the management company shall be allowed

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

waived from the Office as provided in Section 98(7)(b). Clause 11. Management company shall provide and deliver information of investment or holding of the assets as asset of the management company to the

according to the following criteria: (1) the mutual fund management fee shall be paid according to the following criteria: (a) the fee rate shall be 0.001 percent of the net asset value under management

UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557

of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours

. The rate of management fees and other expenses should be clearly prescribed e.g. being a fixed amount or being a percentage of the asset value of the fund 2. Having rules of practice for prescribing the

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________

baht or three percent of the net asset value of the mutual fund, whatever lower, the mutual fund management company shall request for a resolution from the unitholders in accordance with the following