Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The

borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines

objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be

least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work

--------------------------------------- Clause 5. Derivatives broker shall set organization structure, policies and scopes of duties and responsibilities including business operation of working units related to undertake derivatives brokerage

money for debt repayment has been set aside, the liquidator shall distribute, proportionally to the unitholders’ holding, the remaining money to the unitholders whose names appear on the register of

กรณีซื้อขายหุ้นแบบ big lot (put-through) ใน ตลท. เว้นแต่เป็นการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝากที่บุคคล ที่เกี่ยวข้องซึ่งเป็นสถาบันการเงินเป็นผู้ออกหรือคู่สัญญาเพื่อประโยชน์ในการบริหารสภาพคล่อง

is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to

Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In