for clients; (b) providing information regarding capital market products or services for the assigned personnel under (a) to study and acquire the understanding of the details thereof before presenting

Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities

Conflicts of Interest in Which an Intermediary Is Allowed to Get Involved _____________________________ Clause 22 In case an intermediary has a reasonable ground to enter into a transaction being conflicts of

persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the

” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management

regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept

shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement

. Clause 15. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2

statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2) a warning stating that “investment contains certain risks; investors are