with the following regulations: (1) specifying portfolio advisory or investment strategy of program trading shall comply with Division 1; (2) execution of trading order of capital market products
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
investment management of mutual fund for institutional investors or ultra- ultra-high net worth investors (Ultra Accredited Investor Mutual Fund) which implements an investment strategy similar to that of a
____________________________________________________________________ ____________________________________________________________________ 8) Does the investment policy and investment strategy of the foreign ETF comply with the Notification of the Capital Market
only within the units or departments providing services under regulatory sandbox : (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4
Office on a continuing basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts
individual customer; (d) the right to receive information relating to fundamental factors and the risk of the recommended securities, including investment strategy; (5) characteristics of general and specific
by CIS Operator ) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand relating
business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any
: ______________________________________ 5) Type of ARFP Passport Fund: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund