Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is

from the board of directors’resolution; (3) Describe the policy and tendency for future connected transactions including the fulfillment of the obligations specified in the prospectus; (4) Provide

requirements specified in Section 57 or are not adequate to ensure the fulfillment of the requirements specified in Section 57; or (2) are not fair and equitable to members, investors or stakeholders of the

used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes

complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the satisfaction of the SEC by such time. (2) A Hong

Company inspects, monitors and assesses the risks affecting the achievement of the vision, objectives, goals or strategy on the operation of the Company, and identify the preventive measures at an

from preparing and filing only such reports relating to the business category not permitted to operate. Such exemption shall desist when the business operator is granted an approval to start operating

operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...