Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited
fund management; “ big retail investor ” means a person who will make an initial minimum subscription of 500,000 baht for investment units of a mutual fund; “ fund manager ” means a mutual fund manager
overall creditworthiness as professional. Clause 3. The mutual fund management company shall be approved by the Office to establish and manage a mutual fund in accordance with the following rules: (1) The
. TorThor. 25/2551 Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) which contains
, and the names of competitors (only in the case of duopoly or oligopoly), etc. (3) Procurement of products or services Describe an overall procedure for procuring products for sale during the preceding
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
is offered by a company to be listed on the Stock Exchange whose initial public offering has been approved by the SEC Office and the registration statement and draft prospectus have become effective
investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the
or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of
, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin