referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
, Property Development, A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor, Emerging Markets)? If so how are above “normal risk” clients managed
them are managed by the same mutual fund management company , which is prohibited by section 126(3) of the Securities and Exchange Act B.E. 2535 (1992) ; and (3) be according to conditions as prescribed
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from
by the intermediary . Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets , the SEC Office shall settle such assets with the official