incurred from the management under a particular investment policy shall be recorded as incomes and expenses in the account of such investment policy while other incomes and expenses shall be distributed into
where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of over-allotment shares” means a securities underwriter who is obliged to provide over-allotment shares
cases where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of overallotment shares” means a securities underwriter who is obliged to provide overallotment
. I/We affirm that the offering document and the information of the NRI CIS being disclosed and distributed to investors in Home Jurisdiction will be disclosed and distributed without delay to investors
business in the category of derivatives broker or derivatives dealer; “ investment limit ” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC
_____________________________________________________________________ 4. I/We affirm that the offering document/prospectus and the information of the ASEAN CIS will be disclosed and distributed to investors in Thailand within the same period as having the duty to
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall ensure that the information technology
offering document/prospectus and the information of the ARFP Passport Fund will be disclosed and distributed without delay to members of the Passport Fund/ Regulated CIS (unitholders) in Thailand, and in
Fund 13) Units of the Hong Kong Covered Fund will be offered/marketed/distributed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset Management Company
analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker