company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company
knowledge and ability to proceed with the class action case without a conflict of interest with members of the class, and he or she can pay the advance payment for the procedure of class action. 5. Lawyer Fee
Limited 3) General Characteristics of the transaction Amount of Loan : 150,000,000 Baht (Gradually) Interest Rate : 7.00% per annum Term of Loan : 12 months Payment of Interest : Every 3 Months 2 Payment of
maintaining the financial ratios (if any): Early redemption: Interest rate: Fixed Floating Fixed and Floating Registrar: Interest payment period: Securities company underwriting the debt structure notes
securities the mutual fund will invest in? (c) What are the provisions concerning the declaration of the net asset value and the level of underlying index? (d) What is the investment procedure to yield a
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
; and b) Engaged in audit regulatory functions in the public interest, and, in particular: - Ultimately responsible for the system of recurring inspection of audit firms undertaking audits of public
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as