easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is certified by a
such units from foreign exchange for making delivery; (2) in case of short selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to be exchanged for ETF units
of fund performance has been prepared in accordance with performance measurement standards set out by the Association. The statement shall be placed after the statement under (a) and on the same page
shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities
company licensed to undertake securities businesses under the law on securities and exchange; (7) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing
Capital of Person Granted a License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
authorized to make decisions on company’s business operation on behalf of the board of directors; “Department director” means any person who is responsible for the internal operation of a department in the
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.2) B.E. 2542 (1999), which contain certain provisions relating to the restriction of rights and liberties of persons which
protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities