fees and expenses; (14) dissolution of mutual fund. Clause 4 The particular on the specific characteristics of mutual fund shall contain summarized details of mutual fund as follows: (1) name of the
Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008), and Section 119(6) of the Securities and Exchange Act B.E. 2535 (1992), which contains certain
specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data”1 means statements that are created, sent, received, stored or processed through electronic
, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under specific laws or
unit holders by calculating returns that vary according to a formula of calculation or a certain condition that is not easily understood by retail investors; “notification on investment” means the
information and documents, as detailed in Chapter 11; (11) additional regulations for operation of specific business, as detailed in Chapter 12. 3 Part 4 The SEC Office’s Power Clause 5 In order for this
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (Translation) - 2 - (3) The securities companies
underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (Translation) 2 (3) The securities companies
disclose the fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the