total aggregate amount of investment in shares shall not exceed sixty percent of the total investment of the intermediary unless a waiver is granted by the SEC Office. The investment fund under Paragraph
in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
procedure; (10) The Financial Institutions Development Fund; (11) The Government pension fund; (12) Mutual funds under the securities and exchange law; (13) Juristic persons with investment fund of Baht one
of the independent directors under the first paragraph of sub clause (2) would not be applied to an intermediary in the category of investment advisor or derivatives advisor; (3) having appropriate
to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting
demonstrate items of investment in net value after adding or deducting with the value adjustment reserve accounts and the reserve for depreciation of investment fund. 5. Investments in subsidiary and associated
. specifying the source of data used in decision making, the study of analysis/research article, criteria in selecting the investment, fund manager’s rationale for deviating investment plan from the conclusion
บริษัทจัดการอาจลงทุนหรือมีไว้ซึ่งทรัพย์สิน หรือเข้าเป็นคู่สัญญาดังต่อไปนี้ ทั้งนี้ ในกรณีที่เป็น กองทุนรวมที่ลงทุนในต่างประเทศ (foreign investment fund) หรือกองทุนสำรองเลี้ยงชีพหรือกองทุน ส่วนบุคคลรายย่อย