for selecting an analysis/a research to support an investment decision. (4) Prescription of criteria in selecting each asset/group of asset to be actively or passively* invested in order to reduce risk
market. Division 2 Principle for business operation of an intermediary _____________________________ Clause 3 For legitimacy of business operation, an intermediary is obligated to the principles as
financial institution or a juristic person in a foreign country which has legitimacy to operate business in sale or acceptance of redemption of investment units under the law of such country and such
causes of damage to investors and appearance of Thai capital market. Division 2 Principle for Business Operation of an Intermediary _____________________________ Clause 3 For legitimacy of business
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
management company shall appoint an institution of finance or juristic person established in a foreign country which has legitimacy to sell investment unit or receive investment unit redemption under the law
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5