) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This
being fund supervisor are unlimited liabilities partners or limited liabilities partners that hold shares in an aggregate of more than ten percent of the total shares of such limited partnership; (3
baht for mutual fund or private fund management business whose business does not fall under (1)(c)1, 2 or 3; (3) ten million baht for mutual fund or private fund management business that provides service
custody of customers’ assets. (b) Undertaking derivatives business in the category of derivatives fund manager providing services for general investors. (4) ten million baht for undertaking derivatives
expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the
ten business days from the date of receipt of the notice; (2) issue notices to the debtors whose names appear in the accounts and related documents of the mutual fund, instructing them to repay the
: (a) having a net asset value of seventy million baht or more, excluding the value of the property used as a permanent residence of such person; (b) having annual income of ten million baht or more, or
ten percent of voting right shares of a securities company; “Notification of the Ministry of Finance” means the Notification of the Ministry of Finances on prescribing the conditions requiring the
derivatives business. SECTION 25. 2 Unless an approval of the SEC Office has been obtained, no person can hold shares or be a beneficial owner of shares of any derivatives business operator exceeding ten