the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
management company shall comply with other notifications which specify rules related to funds in the following matters: (1) the details of the fund project; (2) the stipulation of the commitment between the
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
Thailand Name of foreign collective investment scheme (CIS): Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective Investment scheme for retail
investment scheme offered in Thailand Name of foreign collective investment scheme (CIS): Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective
strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 34/2556 Re. Arrangement in Operating System of Securities or Derivatives Investment for Business
Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
management arrangement and shall be filed with the Office before proceeding with the fund management under the contract. Clause 2 This Notification shall come into force as from 16 August 2009. Notified this
incentive systems) with regard to its partners and professional staff are designed to demonstrate the firm’s overriding commitment to quality; · The firm devotes sufficient resources for the development
for sale of securities; (3) subscription, underwriting and distribution of securities; (4) acceptance of payment and delivery of securities; (5) custody and arrangement concerning the payment for the