shall administer and manage a fund with responsibility, due care and loyalty for the interest of the unitholders including acting in compliance with the law, the fund project, the commitment between the
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
consideration of a fee or other remuneration excluding the giving of advice to the public in the manner as specified in the notification of the SEC. "securities underwriting" means the underwriting of all or part
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office
) (7) (8) and (9) and harmonize with the elaborate commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the
general public stipulating the period for consideration and making of order with respect to issuance of license, acceptance for registration and grant of approval under this Act. SECTION 7. 2 All rules
consultant type 1 is able to provide consultation on all classes of capital market product having high-risk or complex characteristics ; (b) complex instrument investment consultant type 2 is able to provide
ที่มีการรับประกันการจัดจำหน่ายต่อ (sub-underwriting commitment) ได้แก่ มูลค่าหลักทรัพย์ที่ บล. ผู้รับ ประกันการจัดจำหน่ายต่อจะต้องรับผิดชอบซื้อไว้เองถ้าไม่สามารถจัดจำหน่ายได้หมด 1.2 มูลค่าของหลักทรัพย์
ฐานในการคำนวณ” ของ บล. ได้แก่ มูลค่าการรับประกันการจัดจำหน่ายหลักทรัพย์ หักด้วยมูลค่าดังต่อไปนี้ 1.1 มูลค่าของหลักทรัพย์ที่มีการรับประกันการจัดจำหน่ายต่อ (sub-underwriting commitment) ได้แก่ มูลค่าหลัก