the first paragraph hereof is a manager or a department director who is responsible for a line of work relating to the investment management of a management company and has taken any fundamental
intermediary shall arrange for confirmation of the client about such performance by the intermediary. Clause 33 In case of risky or complex capital market products traded on the Stock Exchange of Thailand or a
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
) , Section 98(3) (5) and (7), the second paragraph of Section 100, the first paragraph of Section 109, Section 114, Section 115, Section 116 and Section 117 of the Securities and Exchange Act B.E. 2535 (1992
first paragraph shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. “ member ” under the first paragraph means member of the Stock Exchange
referred from another statement, article or speech made by any persons or past performance, such copied or referred statement shall be true and shall copy or refer the material information in full without
. Guidelines for consideration of the interest in accordance with the first paragraph shall be specified by the SEC. SECTION 14. The SEC shall have the power and duty to formulate policies to promote and develop
easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is certified by a
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
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) PAGE (Updated 2017) photo size 1 inch (taken less than 1 year) 2. Background and Details of Applicant Requesting Approval 1. First and last name of