services, a securities company shall provide services only for trading of the following securities: (1) securities listed in foreign securities exchange including rights obtaining from previous securities
investment period can be specified) (d) What are the factors that would have a significant impact on the investment of investors? (e) Is this a guaranteed mutual fund, a guaranteed capital and return mutual
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
make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private fund with the same investment policy, the securities company must
Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed Fund Any other type, please specify __________________________________________ 1 Legal entity refers to the legal form of Thai
) providing services of trading a government bond or a bond of which principal and interest are guaranteed by the Ministry of Finance on the condition that the holder shall be able to redeem on a fixed price or
guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such bonds are entitled to redemption under a firm quotation price or at a minimum price pre-determined on the issue
guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such bonds are entitled to redemption under a firm quotation price or at a minimum price pre-determined on the issue
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
issued for Money Market Fund, Guaranteed Fund, and Foreign Investment Fund. Money Market Fund - This is the type of fund that invests in short-term financial instruments such as deposits, promissory notes