Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial
are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
disclosure checklist for Form 56-1 as a guideline for preparing the information in Part 2.2 to Part 2.4 of Form 69-1 as most of the disclosed information is of similar nature. Contents Page Part 1 Executive
Company and the subsidiaries, including at least comparative information during the past three years (or up to the actual operation period). Additional similar information beyond the past three years
of more than 75 percent of all voting shares; (12) a foreign investor of similar characteristic as the persons defined under Section 3 of the Derivatives Act, B.E. 2546 (2003) or those under (1) to (11
supervisory standards on collective investment schemes with characteristics similar to mutual funds (Principles 24-27); however, in case of outsourcing the function which is investment management or derivatives
banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities
of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to