ของบริษัทใดโดยไม่เป็นไปตามอัตราส่วนการลงทุนที่ค านวณ ตามความมีส่วนได้เสียในกิจการที่ลงทุน (concentration limit) ตามที่ก าหนดในภาคผนวก 4-retail MF ภาคผนวก 4-AI หรือภาคผนวก 4-PVD แล้วแต่กรณี นอกจากการ
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
guarantor, the qualification of the new guarantor and terms of guarantee agreement shall not be inferior to the previous one, except in any of the following cases: (1.1) The mutual fund management company
system that is operated by a derivatives clearing house under the derivatives exchange or by a third party. In this regard, the derivatives exchange shall guarantee the clearing and settlement according to
, loan limit, term, interest rate, and collateral (if any); - Specify significant information on real estate, the characteristic of investment (leasehold or freehold), the invested price compared to the
securities company approves to lend money for purchasing securities or lend securities for making a short sale to any person, it shall proceed as follows: (1) determine a maximum limit at which a client may be
.................................................................................................................. 22 Summary of Provisions relating to the Notes of a Series while represented by Global Notes ......................... 40 Form of the Guarantee
information provided in the application and supplementary documents and evidence which the applicant has submitted to the SEC Office only, and such results do not 4 guarantee that such units of foreign ETF have