operating fund supervisor business, at least the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of
, No. SorNor. 28/2549 Re: Investment and Holding of Assets for a Fund dated 17 July 2006 under Part 2: Rules of Investment Limit of Funds and preceding Chapter 1: Rules of Investment Limits in General
number or value of investment units; (2) fees or expenses imposed on investors; (3) merger or amalgamation of mutual funds ; (4) acceptance of debt repayment in the form of securities or other assets by
_____________________________________________________ ________________________________________________________________________ 16) Number of years the CIS Operator has managed funds : _________________ Total assets under management (latest available
(Recovery point objective), such as data on assets of customers and funds, securities or unit trading transactions or information on NAV, so that companies are able to operate consecutively and render no
units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
. “Institutional investor” means: (1) Commercial Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of
provisions of the first paragraph shall not apply to the assets or persons as follows: (1) client’s assets which is a mutual fund, private fund or other similar funds managed by a securities company, acting as
reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and