Create Conflicts of Interest on Fund Management and Protective Rules dated 19 July 2006: “ Clause 15/1. When investing in or disposing of real estate or leasehold right of related person for the property
fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset except real estate, leasehold interest in property or seeking benefits by other
decisions on investment in or disposing of securities or any other asset except real estate, leasehold interest in property or seeking benefits by other methods; “ property fund manager ” means a property
which the mutual fund is entitled to receive from other persons; (2) disposing of the mutual fund’s assets and converting into cash, bank deposits, or promissory notes issued by commercial banks or
(1) or (2), excluding any provident fund. (16/1)3 “ selling agent ” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “ registered capital
only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF
(“selling agent”) สามารถกำหนดข้อตกลงร่วมกันในเรื่อง cut off time โดยระบุ ความรับผิดชอบระหว่างกันไว้ เช่น บลจ. และ selling agent สามารถใช้ cut off time เดียวกัน หากมีข้อตกลงร่วมกันที่จะให้คำสั่งซื้อจากผู้ลงทุน
translation is strictly for reference. 5 Notification of the Office of the Securities and Exchange Commission No. SorJor. 21/2541 Re: Reporting the Results of Selling Securities to the Public
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit