mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In case that the application for establishment and management of the mutual fund has
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
advertisement. Chapter 3 Rules for Advertising ------------------ Clause 8. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
selling under sub clause (2) or (3) of the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under
following qualifications: (1) Being executive of a securities company. This shall be limited to only one person for each securities company; or (2) Being mutual fund manager or private fund manager. Clause 6
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (Translation) (Translation) 2 Readers should be aware that only the
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (Translation) Readers should be aware that only the original Thai text