in writing and shall have the following provisions: (1) stipulating rights and duties of a management company and the representative that are not contrary to or in contravention of the law on
issuer; (3) Transaction with private fund management company; (4) Transaction with funds under the same management company; (5) Transaction in the reverse repurchase agreement or securities lending with
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this
are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circular letters issued under or prescribing guidelines for compliance with this
neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this Notification come into
representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to the law on securities and exchange and relevant rules issued by virtue of
waiver is neither inconsistent with nor contrary to the rules relating to the protection of the investors in the host country where such mutual fund offers investment units for sale; Clause 11 In the case
effective date of this Notification contains any details which are inconsistent with or contrary to the provisions of this Notification, the management company shall apply for the Office’s approval for
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...