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
adequate details and within proper time, to the client . Clause 44 In case it is necessary to engage in agreement before beginning any service, an intermediary shall prepare covenant with the following
cash equivalents as of … (beginning of period) Cash and cash equivalents as of ... (end of period) Supplementing information on cash flows …………………………………………. …………………………………………. The …………………… Securities
(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
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
results of the performance, with adequate details and within proper time, to the client . Clause 44 In case it is necessary to engage in agreement before beginning any service, an intermediary shall prepare
has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
” 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