fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities

company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities

) providing advice on investment or fund management by investor contact persons; (4) distribution of prospectus or other information in which the management company must disclose to investor; (5) other

: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company

Part C: Distribution of NRI CIS and CIS Operator’s Local Representative Arrangement for Distribution 17) Units in NRI CIS will be offered/ marketed in Thailand by the following intermediaries who are

following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This

the latest credit rating of such debenture or bill, or the issuer rating or the guarantor rating, as the case may be. 9.4 Dividend distribution policy Specify the dividend policy of the Company for the

an offer for sale of any types of securities, issuing company shall distribute a summarized substance of instrument (fact sheet), securities underwriter shall arrange to have the distribution of such

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by