regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept
prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary
related to securities or an issuing company. Clause 3 The rules in detail under this Notification are prescribed in order for intermediaries to comply with the Notification on Standard Conduct of Business
experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
; “Office” means the Office of the Securities and Exchange Commission. Clause 2. In order to ensure that each management company shall conduct its business as professional to conform to the level of trust
Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
. Clause 15. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2
statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2) a warning stating that “investment contains certain risks; investors are