funds to be exempted if asset management companies comply with all obligations, such as widely allocating investment units to the general public, managing liquidity effectively and having measures to
Bangkok, May 13, 2013 ? The companies aiming to broker a variety of investment units offered by different asset management companies will be eligible to apply for Type D license. Certain requirements
units, Ads with data about numbers that represent an estimated return on investment (expected return) of SCB Money Market Fund (SCBMONEY) in the fund offering documents and through public media channels
FL 2024 CO., LTD FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, had duties to
assigned by a management company to sell investment units of a mutual fund; “investor contact ” means any natural person approved by the SEC Office to act as an investor contact person, who communicates with
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
include listed securities and investment units of open-ended funds with daily redemption feature, except investment units with transferable restrictions. In any case, such repo transactions would have to