Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person
กรณีที่มีการจัดการให้ได้มาซึ่งหลักทรัพย์หรือทรัพย์สินอื่นที่เป็นหลักทรัพย์หรือทรัพย์สินที่ออกใหม่ (primary market) เพื่อกองทุนรวมและเพื่อบริษัทจัดการ บริษัทจัดการต้องจัดสรรหลักทรัพย์หรือทรัพย์สินอื่นดัง
operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange
primary consideration the interest of other investors. Clause 12 An intermediary in the category of mutual fund management or private fund management shall disclose, prepare, deliver and maintain
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
offering; (2) soliciting investors to invest in a newly-issued outbound product for a public offering in the primary market by any other manner specified by the SEC Office. Clause 12 The outbound product the
to property. [ ] Yes [ ] No (3) I am the person whose property has been ordered by the court to devolve upon the State in accordance with law on counter corruption, law on prevention and suppression of