Microsoft Word - MDA Q4-2563_Eng_28 may 2020 May 27, 2020 Subject Management Discussion and Analysis for the year ended 31st March 2020 To President of the Stock Exchange of Thailand Secretary of the
The Securities Commission Malaysia, the Monetary Authority of Singapore, and the Securities and Exchange Commission of Thailand have signed a Memorandum of Understanding to enhance the ASEAN
activities therewith may not be protected by the laws enforced by the SEC. In the case of the Facebook accounts, the SEC has instructed the accounts to end the solicitation on the social media platform. On a
, manager or person with managerial authority who is responsible for the applicant’s undertaking of securities business has qualifications and does not have any prohibited characteristics under Section 103
deemed to have been granted an approval to act as a mutual fund manager. In this regard, such person may perform duties as a mutual fund manager and a private fund manager in the same management company if
, who has been granted an approval to act as a private fund manager and is also deemed to have been granted an approval to act as a mutual fund manager under the first paragraph hereof, shall not be a
, who has been granted an approval to act as a private fund manager and is also deemed to have been granted an approval to act as a mutual fund manager under the first paragraph hereof, shall not be a
derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The agreement shall not be
agreement shall not be in the manner which may cause conflict of interest between the customer and the derivatives fund manager as well as related persons as specified in the notification of the Office unless
company; (2) Exercise voting rights at the shareholders’ meeting concerning the matters which may materially affect the interest of the mutual fund; (3) Arrange to have an effective operating system for