fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In the case where the mutual
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
, derivatives intermediary or life insurance company whether established under Thai or Foreign law. “ payment information management for securities trading ”5 means services relating to collecting, organizing and
. In addition, such hybrid securities shall have one of the following characteristics: 1. hybrid securities issuer having the rights to postpone or exempt debt payment, or the rights to postpone or
mutual funds or provident funds , the payment for redemption of investment units or the payment of benefits to members of private funds that are provident funds , including the incorrect calculation of the
before making a decision to use the services and [ii] possible risks arising from using the services: (1) general information of the intermediary ; (2) characteristic, scope and condition of a service
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
of more than 75 percent of all voting shares; (12) a foreign investor of similar characteristic as the persons defined under Section 3 of the Derivatives Act, B.E. 2546 (2003) or those under (1) to (11