assets of any persons under (1) to (7) in the form of private funds, provident funds or mutual funds. “Office” means the Office of the Securities and Exchange Commission. Clause 2. Giving advice in the
Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural
employee for the benefit of working. 2 “employer” means a person who agrees to recruit the employee to work by paying wages, notwithstanding whether it is a natural person or juristic person, and whether or
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified
following funds: (a) a fund which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the