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; · Thai AMC should submit the application for establishment of mutual fund via the SEC’s Online Fund Approval and Management System (OFAM) together with all the necessary documents in support of the
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
to undertake custody of clients’ assets . In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice
prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage
mutual reliance and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the major shareholder. If the business structure of the Company or
and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the majority shareholder. If the business structures of the Company or the
major shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance and support as well as strategic positioning of the Company or its group of companies in
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations