Trust regarding high net-worth investors and retail investors are summarized as follows: Subjects High Net-Worth Investors Retail Investors 1. Application for sale of the units and submission of the
follows: Subjects High Net-Worth Investors Retail Investors 1. Application for sale of the units and submission of the filings the offeror + FA together submit the application and certify the
> Management of Mutual Fund > Procedures for incorrect pricing Regulations SHARE : Detail Content Management of Mutual Fund 7. Procedures for incorrect pricing (1) Retrospectively price correction only for
Mutual Fund > Additional rules for exchange traded funds (ETFs) Regulations SHARE : Detail Content Management of Mutual Fund 26. Additional rules for exchange traded funds (ETFs) (1) The mutual fund
specified in 1 to 11 and subject to following conditions* * 1. Each infrastructure asset is interrelated, promoting or generating benefits to one another or to a common and/or nearby community. 2. Each
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
การกำกับดูแลของสำนักงาน ก.ล.ต. คือ คุ้มครองผู้ลงทุนในขณะที่ไม่ให้กฎเกณฑ์เป็นภาระอันเกินสมควรจนเป็นอุปสรรคให้กับผู้ระดมทุน สำนักงาน ก.ล.ต. ได้ดำเนินการผ่านหลักเกณฑ์ต่าง ๆ ดังนี้ 1. การขออนุญาต : issuer