the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept
business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii] the intermediary ’s personnel would be able to complete their
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
specified in the fund project provided that the management company is able to show that such redemption will not affect the fund’s viability; (2)* having the term, infrastructure fund, at the end of its name
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
, the management company shall be granted relaxation to postpone the calculation until the management company is able to determine the fair value of equity instruments issued by PTT Public Company Limited