securities business in the category of private fund management. Parties shall be regarded as the juristic entities under the same business group under the first paragraph if: (1) The party that manages funds
Which May Constitute a Conflict of Interest in the Management of Mutual Funds in the part related to conclusion of transactions for property funds, mutatis mutandis ; (b) related party of a fund which
clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
position in a political party unless having vacated such position not less than one year; (5) being an officer or an employee of the SEC Office; (6) being a manager or a person with power of management of
effective on 6th January B.E. 2547. 2 (1) a contract in which one party is obliged to deliver goods as specified in the contract to the other party at a given time in the future, and the other party, in turn
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2