foreign service provider ] intermediaries shall outsource the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
securities or investment units, mutual fund management and private fund management. “Office” means the Office of the Securities and Exchange Commission. Clause 2. The securities company shall prepare and
; “ mutual fund ” means any retail fund and mutual fund for accredited investors; “ retail fund ” means a mutual fund that is intended to offer investment units for sale to investors in general and not
-trading between mutual funds under the same management company, the transaction shall have the following characteristics: (a) being a transaction which is appropriate to investment policy and necessity of
another party, which shall include the following matters: (a) in case of subcontracting the outsourced function which is investment management of mutual funds, provident funds, derivatives investment
licensed to undertake securities business in the category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities
private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company
Exchange of Thailand; (10) “ Office ” means the Office of the Securities and Exchange Commission; (11) “ units ” means investment units of mutual fund, certificate of pooling investment trust or other
brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of