advertisement. Chapter 3 Rules for Advertising ------------------ Clause 8. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
accordance with the shareholding proportion for 81.20 million shares and through private placement of 40.60 million shares. Page5of6 4. To consider approving the waiver application for the bidding of all
rating, and is capable of operating the work impartially and fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as
Clause 15. In this division, “securities company” means a company licensed to undertake securities business in the category of securities brokerage. Clause 16.21 22 In considering an application for
brokerage. Clause 16.21 22 In considering an application for opening an account and entering into the agreement which appoint the securities company as the 19As added by the Notification of the Securities and
แก้ไขเปลี่ยนแปลงข้อมูลหรือระบบดังกล่าวได้ ข้อ 7 บริษัทหลักทรัพย์ต้องจัดให้มีมาตรการควบคุมที่เพียงพอเพื่อให้ระบบงาน คอมพิวเตอร์ (application software) ที่ได้รับการพัฒนาหรือแก้ไขเปลี่ยนแปลงมีการประมวลผลที่
, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to amend private fund agreement, as the case may be, to comply with the
perform as following: (1) In the case of close-end fund or private fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to