.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in Thailand 18) Name of Participating Dealer
received before the earthquake or are unable to calculate the NAV within the specified timeframe, they must notify investors and announce the new NAV publication schedule via the companies’ websites, and
general, or the investors may not have received correct or sufficient information to support their investment decision making. Clause 13 If any one of the following characteristics is met, the SEC Office
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
specific investors under Clause 46(1), the approved foreign entity shall comply with the following additional rules: 26 (1) an offer for sale to one or many persons as follows: (a) institutional investors
information to the investors; (c) the appraisal on the infrastructure asset is conducted under the following rules: 1. conducted not more than one year prior to the acquisition of the said asset; 2. if the
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
; however, for the REIT whose underlying assets are properties on long term leases to tenants or on leases to only one lessee, the summarized essences of lease agreement shall be provided; - in the case that
accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the