trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
the arbitrator who ranks first in the claimant’s selected list; (3) in cases where the respondent intends to challenge all of the three arbitrators in the claimant’s selected list because there is a
to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
for management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
Notification of the Securities and Exchange Commission (Translation) PAGE (Translation) - 4 - Readers should be aware that only the original Thai text has legal force and that this English
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
whether the sentence has been suspended and I have been discharged for a period of less than three years after being sentenced in the non-compoundable offences of fraudulent or dishonest management relating
(1) List of major shareholders Identify the names of the following shareholders, the number of held shares and the latest shareholding proportion of the total shares. In this regard, the shareholding