electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
information in the advertisement; (3) provide additional information so that complete and accurate information is provided to investors; (4) act or refrain from doing any acts within a specified period of time
list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF . “ exchanging in-kind ” means entering into the following transactions with a management
insurance company have signed a contract of life insurance and a contract of investment in investment units with an agreement that the insured shall pay premium to the life insurance company for protection
insurance policy issued by life insurance company to the insured as evidence that the insured and the life insurance company have signed a contract of life insurance and a contract of investment in investment
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by
licensed to undertake securities business in the category of mutual fund management shall have paid-up registered capital of not less than one hundred million baht. Clause 4. The securities company licensed
permits by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person granted a license to undertake derivatives business in the category of