to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund
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
the arbitrator who ranks first in the claimant’s selected list; (3) in cases where the respondent intends to challenge all of the three arbitrators in the claimant’s selected list because there is a
, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities
) The Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 45/2545 Re: Determination of Fees for the Operation of Licensed Businesses (No. 2) dated 24 October 2002. Clause 2. In
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
specified in the notification of the Office. In the delegation of management under the first paragraph, the appointment of a marketing agent under the second paragraph and the operation of the back office
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
potential, and the names of competitors (only in the case of duopoly or oligopoly). 2.3 Procurement of products or services (a) Describe an overall procedure for procuring products for sale during the past
(1) List of major shareholders Identify the names of the following shareholders, the number of held shares and the latest shareholding proportion of the total shares. In this regard, the shareholding