in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์
ทั้งหมด 5. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) (2) การดำรงหลักประกันของบัญชีมาร์จิ้น และบัญชีสัญญาซื้อขายล่วงหน้า ประจำเดือน ระดับ Margin จำนวน ราย จำนวนเงินที่ต้องเรียกเพิ่มหรือบังคับชำระหนี้ จำนวนเงิน
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11