of each mutual fund, together with sufficient description thereof illustrating the distinctive nature of each mutual fund and the value of the pool of assets. Should there be any change in such
Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht
appoints as an agent to perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a business, clarify the nature of the business to be invested
, disposal or holding of securities or other assets; “management company” means mutual fund management company or private fund management company ; “mutual fund management company” means a securities company