” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any client in each category is treated fairly and with the best
for clients; (b) providing information regarding capital market products or services for the assigned personnel under (a) to study and acquire the understanding of the details thereof before presenting
conflicts of interest which may arise in every process of business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any
implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the