financial market incidents. Dr. Peng Chen, CFA who serves as Chief Executive Officer, Asia (ex-Japan) for Dimensional Fund Advisors, a world leading investment firm, Deborah A. Fuhr, a prominent ETF expert
) having the directors, executives or controlling persons having the following characteristics: (a) a director or executive is subject to an order or a warning of the SEC Office or the Exchange regarding
Statement (“Registration Statement”), and the effective date of the Registration Statement; - Specify the investor warning as follows: “Before investing, investors must exercise their discretion in
เรื่อง การดํารงเงินกองทุนสภาพคลองสุทธิ ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ. 66/2547 เรื่อง การดํารงฐานะทางการเงินของผูไดรับใบอนุญาตเปนตัวแทนซื้อขายสัญญาซื้อขายลวงหนา 2. การกําหนดระดับ early warning เกณฑป
securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for
-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due
under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return as
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past performance of (specify the name of the fund) is not indicative of future performance