its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its
under other laws incapacitating the management company from complying with the rules and conditions to be exempted; (3) the management company has other measures that are sufficient and may substitute the
the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
at /of ……. Baht and the occupancy rate at …….% which is the estimation for the period of …… year(s) ending …..(date)….. and not guaranteed”; (8) the information under (5) and the statement under (7
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
certificate of deposit has been assigned investment grade credit rating according to Paragraph 2 of Clause 18/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full
of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed
decision for proprietary trading account to perform such duties; (2) Provide service for client relating to trading of government bond or bond that principal and interest are guaranteed by the Ministry of
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application