of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
Securities and Exchange Commission concerning Rules Relating to Maintaining of Capital Adequacy and Professional Indemnity Insurance of Management Companies; (2) the management company is not being
selling of precious metals or derivatives relating to precious metal ; (4) demonstrating that a director, a manager or an authorized management person who is responsible for undertaking derivatives business
experience relating to buying or selling of precious metals or derivatives relating to precious metal ; (4) demonstrating that a director, a manager or an authorized management person who is responsible for
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1
management Ο private fund management Ο other, (please specify)…………….. 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs