Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992) in conjunction with Clause 18
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of
giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand
eligible assets for investment, and being transparent and published appropriately). Gold price Part B: Information on the CIS Operator 10) Name of CIS Operator
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In
with the rules provided in Clause 6; (b) investing in the investment units under paragraph 1(8)(a). (9) units of collective investment scheme having characteristics similar to the assets under Paragraph
which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified
following funds: (a) a fund which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract
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