investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
insurance company; (9) mutual fund; (10) private fund managed by a securities company for the investment of ultra-high net worth investors, high net worth investors or investors under (1) to (9) or (11) to
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
possible) General Equity Fund Bond Fund Mixed Fund Feeder Fund Unlisted Index Fund Passively Managed Index Tracking Exchange-Traded Fund (ETF) Any other type, please specify
fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
, Property Development, A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor, Emerging Markets)? If so how are above “normal risk” clients managed
by the intermediary . Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets , the SEC Office shall settle such assets with the official
them are managed by the same mutual fund management company , which is prohibited by section 126(3) of the Securities and Exchange Act B.E. 2535 (1992) ; and (3) be according to conditions as prescribed
the units of a mutual fund managed in accordance with (1) of Paragraph 1 of Clause 11 and the disposal of the units invested in accordance with Paragraph 2 of Clause 11 shall be kept in a ready manner