for Establishment and Management of Mutual Funds Offered to institutional or ultra high net worth investor ; (b) investment units of a mutual fund of which having a complex investment in accordance with
of such goods or variable prevailing at a given time or period of time in the future as specified in the contract; (3) a contract in which one party is entitled to demand the other party to deliver
_______________________ Clause 28 In communicating with and providing services relating to high-risk or complex capital market products to clients, an intermediary shall comply with the rules prescribed under this Chapter
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34
as follows: (1) issue notices to the creditors whose names appear in the accounts and related documents of the mutual fund, instructing them to submit demand for debt repayment to the liquidator within
beneficiary has the right to demand a trustee to manage a trust in accordance with the trust instrument or this Act and to claim compensation for the benefit of the trust, in cases where the trustee fails to
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
) , including Section 18 Section 33 and Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in
, for example, resignation of key IT personnel, insufficient budget or demand for resources exceeding the specified level in the capacity plan; (5) assignment of roles and responsibilities of the