have been invested, or be a legal custodian in the country where such custodian is located. (5) Be able to show that the personnel of the unit responsible for work relating to fund supervisor is ready or
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
information disclosure to investors. It is thus deemed appropriate that the notification relating to establishment and management of funds as specified in the Notification of the Securities and Exchange
investors’ interest as well as provide proper and sufficient information disclosure to investors. By virtue of Section 9, Section 18, Section 31 and Section 41 of the Derivatives Act B.E. 2546 (2003), the
been removed from a position of director or manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (5) Being subject to receivership by a court order
information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units, services or the operation of fund management, or
media or objects. This does not include the information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units
value or suitability of trading or investing in securities; (4) “Category B Investor Contact” means any investor contact who is not authorized to analyze value or suitability of trading or investing in
approval to be investor contact as per the notification of the Office of the Securities and Exchange Commission governing determination of fees for filing information, registration and other applications. In
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units