public in Thailand. The Thai Covered Management Company of the Thai Covered Fund must also remain licensed by the Ministry of Finance upon the recommendation from the SEC to manage collective investment
Supervisory Board No. Tor Jor. 4/2561 Re: Provisions relating to Offering for Sale of Units of Foreign Collective Investment Scheme ____________________ By virtue of Section 16/6, Section 67 and Section 69 of
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Name of foreign collective investment scheme (CIS): Type of arrangement: ASEAN
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional
. 41/2555 Re: Rules, Conditions and Procedures for Trading of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth Investor By virtue of Section 16/6 and Section 113 of the
Supervisory Board No. Tor Nor. 41/2564 Re: Provisions relating to Offering for Sale of Units of Collective Investment Schemes between Hong Kong Special Administrative Region of the People’s Republic of China
management control of IRSL in April 2019, IRSL operational and financial performance has been improving. IVL has appointed a new management team, including the CEO and CFO, in IRSL to manage and operate the
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and