customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least
under Clause 8 of the Notification No. TorNor. 75/2552 relating to the distribution of money and documents to the unitholders shall not apply to the distribution of money and documents to the unitholders
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the
, the asset deemed to be owned by customer shall not be regarded as asset subject to the restriction of distribution, disposal or transfer effectuate by due and legal order suspending in whole or in part
for sale of securities; (3) subscription, underwriting and distribution of securities; (4) acceptance of payment and delivery of securities; (5) custody and arrangement concerning the payment for the
of the return distribution or the reimbursement of capital to the unitholders; (b) fees or expenses collected from the unitholders; (c) any other cases approved by the SEC Office, provided that, in
fund is a retail fund, there should be a plan to offer extensively to the public e.g. distribution, advertisement promotion and budgeting. 2.2 In the case where the mutual fund is a non-retail fund
Part C: Distribution of NRI CIS and CIS Operator’s Local Representative Arrangement for Distribution 17) Units in NRI CIS will be offered/ marketed in Thailand by the following intermediaries who are
behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3