prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
ที่เป็นผู้จัดการรับประกันการจำหน่ายและจัดจำหน่าย (lead underwriter) เป็นผู้จัดทำและยื่นรายงานตามวรรคหนึ่ง ข้อ 5 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 3 เมษายน พ.ศ. 2543 เป็นต้นไป ประกาศ ณ วันที่ 14 มีนาคม
การจัดจำหน่ายตราสาร ทุน/หนี้ ผู้จัดการการจัดจำหน่าย (lead underwritter) มี ไม่มี ผู้ร่วมจัดจำหน่าย (co underwritter) มี ไม่มี ตัวแทนจัดจำหน่าย (selling
Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to
Thai AMC is required to perform on-going monitoring and oversee that the mutual fund maintains the qualifications of an MRF-eligible master fund in accordance with the requirements under HK-TH MRF MoU
paragraph, the management company shall prepare a written agreement and a memorandum containing facts which lead to why the management company considers that such transaction complies with the rules
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the