following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
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
Representative Arrangement for Distribution 17) Units in the ARFP Passport Fund will be offered/ marketed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset
money or assets or fail to draw the money from the cheque paid from the distribution of the assets, in which case the liquidator shall apply for registration of the dissolution of the mutual fund after
of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor of
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
contract of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor
, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person