shall include at least the following matters: (1) Questions and answers regarding the key characteristics of the mutual fund, as follows: (a) Does the mutual fund specify the types of investors or classes
shall specify a scope of the types of service user whereby a general investor is not entitled to offer to buy or buy such securities. (7) arranging disclosure of information related to trading which shall
, the securities trading center shall specify a scope of the types of service user whereby a general investor is not entitled to offer to buy or buy such securities. (7) arranging disclosure of
matters as follows: (1) a system for repayment of obligations under derivatives shall specify the point of time for the repayment and the delivery of the underlying goods under the derivatives (if any
obligations under derivatives shall specify the point of time for the repayment and the delivery of the underlying goods under the derivatives (if any) which shall be deemed finality of settlement. In addition
the written agreement made with the customer. Such agreement shall, at least, specify the types of investable assets and investment restrictions. Clause 9. The business operator shall, except otherwise
made with the customer. Such agreement shall, at least, specify the types of investable assets and investment restrictions. Clause 9. The business operator shall, except otherwise specified in the second
only in the assets specified in the written agreement made with the customer. Such agreement shall, at least, specify the types of investable assets and investment restrictions. Clause 9. The business
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 o...