and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
auditor’s report in at least one local daily newspaper and delivering a copy of the newspaper in which the said announcement has been published to the SEC Office. The proceedings under Paragraph 1 regarding
regulations of the Stock Exchange of Thailand. Clause 4. The management company shall be responsible for various expenses incurred from the incorrect unit value, e.g., expenses in placing an announcement of
management company on behalf of the open-end fund. Clause 6. The management company shall be responsible for various expenses incurred from the incorrect unit price, e.g., expenses in placing an announcement
unitholders on the date of dividend announcement, an examination for correctness of the announcement and payment of dividend to the unitholders which should be in accordance with the prospectus, control and
making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
) Systems for supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and
หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค
issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of