Commission 03/08/2009 01/09/2009 4. Notification of the Office of the Securities and Exchange Commission Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
Capital Market Supervisory Board 63/2552 Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment Units (Synopsis) 03/08/2009 01/09/2009 3
(greenfield) project and must be closed-end with no less than 2 billion baht registered capital. The fund must also set a clear policy on distribution of investment units to retail investors and be listed on
brokerage, dealing and underwriting of investment units (LBDU), are subjected to submission in total of 280 reports. Derivatives intermediaries are required to submit 22 reports. There are 43 reports for
securities companies in underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4
underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4, Clause 5, Clause 6
: Prospectus for Offering for Sale of Investment Units of Mutual Funds for Retail Investors, Mutual Funds for Non-Retail Investors and Mutual Funds for Institutional Investors (No. ), including Form 123-1 and