rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
securities offering prior to the effective date of the registration statement and draft prospectus. Clause 11. A securities underwriter shall not disseminate an article or research paper prepared by itself, a
underwriter shall not disseminate an article or research paper prepared by itself, a co-underwriter or a related securities company which relates to underwritten securities or other securities relating to
of customers, the target customers, the project value, the sale and construction progress, etc. Describe the research and development policy in areas and specify the details of the process of
for selecting an analysis/a research to support an investment decision. (4) Prescription of criteria in selecting each asset/group of asset to be actively or passively* invested in order to reduce risk
จัดสอบโดย Association for Investment Management and Research (AIMR) หรือ (3) หลักสูตรอื่นใดที่เทียบเท่าตามที่สมาคมกำหนด ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันถัดจากวันประกาศในราชกิจจานุเบกษา เป็นต้นไป
educational qualifications, experiences and training for performing such duties; (3) Clarify whether the appointment, removal and transfer of the head of the internal audit unit requires the Audit Committee’s
work relating to provision of securities services, securities operation or research on securities or capital markets or other similar lines of work, regardless of whether the operation of such line of