liquidity of management company; (2) Investing in instruments having the time to maturity less than one year in which management company intend to hold them until the maturity; (3) Investing in investment
period of time or conditions for considering such person’s application for an approval to act as a mutual fund manager of the management company, taking into account the severity of behaviors of such
deal with having conflicting demands on time from clients and/or management responsibilities and how are they supported? 2 How does the firm ensure that partners have sufficient time needed to maintain
Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
company fail to effect such amendment within the specified time, the Office may order dissolution of such mutual fund. Clause 22. In the event that the management company has been granted approval for
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive