and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
High Net Worth Investor and High Net Worth Investor . Clause 3 A securities business license applicant and licensee shall have paid-up registered capital of no less than the following amounts: (1) one
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
investment management of mutual fund for institutional investors or ultra- ultra-high net worth investors (Ultra Accredited Investor Mutual Fund) which implements an investment strategy similar to that of a
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...