debt securities shall comply with the provisions in Part 1 and Chapter 2 of Part 2; (3) an offer for sale of convertible bonds apart from the case in (4) shall comply with (1) or (2), as the case may be
to investment of the mutual fund (issued by CIS Operator) [ ] 7. Master fund’s prospectus and fact sheet/ product highlight sheet (required only in case of feeder fund) [ ] 8. A document demonstrating
SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed that an
company" means a securities companies licensed to undertake securities business in the category of mutual fund management; “unit” means an investment unit of mutual fund or trust unit of trust, as the case
such lease or utilising area, as the case may be, and [ii] the rental fee shall include a compensation from utilising area and from a charged fee providing services thereof. Part 1 Application for an
of Securities Issuers. 4 Chapter 2 Power of the SEC Office _____________________ Clause 9 In the case where it appears to the SEC Office a fact causing any of the following suspicious grounds, the SEC
Establishment of Company under the law of the jurisdiction where such foreign ETF is established – in case of foreign ETF established by an investment company; or [ ] (b) Trust Instrument or Trust Agreement – in
application to the SEC Office as prescribed in Chapter 1. In case the Institution of Appraisal Profession has already been established as prescribed in Clause 17, the approval and the extension of the approval
นการยกเลกิการเสนอขาย หลกัทรัพย ์และการจองซือ้หลกัทรัพย ์เป็นตน้ Disclose other material information such as financial advisor, lead-underwriter, co-underwriter, effective date of registration statement