; (4) act or omit to act within the specified period of time, in order to make investors decide or review the decision to invest in [units] on complete, correct, real and not mislead information; Clause
-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due
under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return as
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past performance of (specify the name of the fund) is not indicative of future performance
อยกวา 25 ลานบาท 2. การเปลี่ยนแปลงระดับ early warning สําหรับบริษัทหลักทรัพยและกําหนดระดบั early warning สําหรับผูไดรับใบอนุญาตเปนตวัแทนซื้อขายสัญญาฯ 2.1 กรณีบริษัทหลักทรัพย แกไขระดับ early
descending order by the probability of occurrence of the risks and significance of their effects; (9) information about administration and management of the mutual fund; (10) warnings about the mutual fund; 1
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
intermediary is obligated to the principles as prescribed in the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses. In order