and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management company perform any acts to engage into assets trading or enter to be

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an

Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is

มีนโยบายการลงทุนใน Real Estate Investment Trusts และการลงทุนโดยตรง ใน Real Estate Investment Trusts (REITs) ด้วยมีบริษัทจัดการบางรายขอให้กองทุนรวมลงทุนในหน่วยลงทุนของกองทุนรวม ต่างประเทศที่มีนโยบายการ

a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a derivatives trading with the

general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the

entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client , an intermediary shall consider received information as prescribed in Clause 31 in order to identify the real