having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work experience relating to buying or

than 100 million Baht; (2) not having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work

any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the

case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person

กรณีที่มีการจัดการให้ได้มาซึ่งหลักทรัพย์หรือทรัพย์สินอื่นที่เป็นหลักทรัพย์หรือทรัพย์สินที่ออกใหม่ (primary market) เพื่อกองทุนรวมและเพื่อบริษัทจัดการ บริษัทจัดการต้องจัดสรรหลักทรัพย์หรือทรัพย์สินอื่นดัง

status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the

frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a

circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6

primary consideration the interest of other investors. Clause 12 An intermediary in the category of mutual fund management or private fund management shall disclose, prepare, deliver and maintain

offering; (2) soliciting investors to invest in a newly-issued outbound product for a public offering in the primary market by any other manner specified by the SEC Office. Clause 12 The outbound product the