intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending
assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits
important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering
channel of any government bond or bond guaranteed for principal and interest by the Ministry of Finance and redempted by holders with specific or minimum price determined as of the issuing date does not
case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person
กรณีที่มีการจัดการให้ได้มาซึ่งหลักทรัพย์หรือทรัพย์สินอื่นที่เป็นหลักทรัพย์หรือทรัพย์สินที่ออกใหม่ (primary market) เพื่อกองทุนรวมและเพื่อบริษัทจัดการ บริษัทจัดการต้องจัดสรรหลักทรัพย์หรือทรัพย์สินอื่นดัง
primary consideration the interest of other investors. Clause 12 An intermediary in the category of mutual fund management or private fund management shall disclose, prepare, deliver and maintain
). Cash flows statement The items in the cash flow statement of the company shall be use the prescribed definition, as follow: Cash flow from operating activities means money arising from the main
offering; (2) soliciting investors to invest in a newly-issued outbound product for a public offering in the primary market by any other manner specified by the SEC Office. Clause 12 The outbound product the