Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied) 14/09/2010 01/10/2010 Notification of
according to the investor’s orders. She also counterfeited the investor’s signature to apply for an ATM card for the banking account the investor had opened for the purpose of accepting redemption money
must be approved by the Office prior to distribution: (1) advertisement related to estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the
estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to obtain prior approval in accordance with Clause 19. In cases where
Office prior to distribution: (1) advertisement related to estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to
structured notes, convertible bonds, or warrants shall report the redeeming, [converting,] or exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption
,] or exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption of structured notes in the type of physical delivery of securities, or the report
exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption of structured notes in the type of physical delivery of securities, or the report of the
คล่องและไม่สามารถขาย ตราสารดงักล่าวออกไปได้ โดยในชัน้ของกองทนุรวมนีจ้ะมกีารบริหารความเสี่ยงเก่ียวกับสภาพคล่องโดยการก าหนดให้มเีพดานการขาย คืนหน่วยลงทุน (Redemption Gate) ได้ไม่เกินร้อยละ 10 ของมลูค่า
seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit