estimated return does not include unitholders’ capital; (5) details of the fund’s investment under (1)(a) shall be disclosed, of which at least the following particulars, which are the same as those contained
fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
EDITED PAGE (Unofficial translation) PROVIDENT FUND ACT B.E. 2530 * BHUMIBOL ADULYADEJ, REX., Given on the 30th day of November B.E. 2530; Being the 42nd Year of the Present Reign. His Majesty King
where the business operator is acting for several lenders who are ready to lend the same securities at the same time. Clause 8. In the case where the business operator is the custodian for of the
within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody
same controlling person is considered the shareholding of the same group: (a) top 10 shareholders with the highest shareholding; (b) the major shareholders whose behaviors materially influence management
appropriate for each business is acceptable. For example, a commercial bank may present the deposits of the persons with potential conflicts of interest in the same group. Part 3 Financial Position and
statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8