. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
under Clause 3(5) and (6); (3) be able to show that its working capital will be sufficient to cover its projected expenses incurred in connection with business operation as specified in the SEC’s
of total shares sold of such legal entity; (3) 2 have objectives to operate securities business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
matter that may have significant impacts on the mutual fund's benefits; 3. Establish an operation system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
matter that may have significant impacts on the mutual fund's benefits; 3. Establish an operation system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate
set aside reserve capital in accordance with law controlling business undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business