in Thailand continuously for not less than 1 year; Having a manager and a person holding executive position responsible for the working field relating to asset appraisal who have knowledge and working
the program is that it must be demonstrated that internal information is not used to the benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
following month, and within two working days from the date NC =< 1.5 times of minimum requirement Quarterly Reports Quarterly Complaint Handling Summary (Notification No. TorThor/Khor/Dor/Nor. 62/2552
compliance with the provisions of the Notification on Investment. In applying for establishing a mutual fund for accredited investors (AI Fund), the mutual fund management company shall not specify the
fund management under this Ministerial Regulation whose shares are held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3
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management services of Mutual Fund (MF) Private Fund (PF) Derivative Fund Manager (DF) exclusively for institutional investors + not taking custody of clients' assets 10 million baht. Others 1 million baht