shall administer and manage a fund with responsibility, due care and loyalty for the interest of the unitholders including acting in compliance with the law, the fund project, the commitment between the

incentive systems) with regard to its partners and professional staff are designed to demonstrate the firm’s overriding commitment to quality; · The firm devotes sufficient resources for the development

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office

) (7) (8) and (9) and harmonize with the elaborate commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the

concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...

and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By

intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High

ที่มีการรับประกันการจัดจำหน่ายต่อ (sub-underwriting commitment) ได้แก่ มูลค่าหลักทรัพย์ที่ บล. ผู้รับ ประกันการจัดจำหน่ายต่อจะต้องรับผิดชอบซื้อไว้เองถ้าไม่สามารถจัดจำหน่ายได้หมด 1.2 มูลค่าของหลักทรัพย์