tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary. “ fund management company ” means a securities company licensed to undertake securities business in the category
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
. “trust property” means any property as specified in a trust instrument, including any property, interest, debt and liability arising from management of a trust in compliance with a trust instrument or this
Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
used in business operation 6. Future projects 7. Legal disputes 8. Other important information 2.3 Management and corporate governance 9. Information on securities and shareholders 10. Management
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours