action or to refrain from any action, in following cases: (1) The actual objective or substance of m anaging the mutual fund constitutes an avoidance of the provisions or the rules. (2) The management of
action or to refrain from any action, in following cases: (1) The actual objective or substance of m anaging the mutual fund constitutes an avoidance of the provisions or the rules. (2) The management of
. กระทำการหรืองดเว้นกระทำการได้ เมื่อปรากฎข้อเท็จจริง ดังนี้ (1) ความมุ่งหมายหรือสาระที่แท้จริง (substance) ของการจัดการกองทุนมีลักษณะเป็นการ เ ลี่ยงเกณฑ์ (2) การจัดการกองทุนรวมอาจขัดต่อนโยบายรัฐที่
such person or any other law relating to financial business, both of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control
business, both of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or
of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
characteristics. Disclosure of information is complete and sufficient for making a decision to invest, and not misleading in substance Other qualifications Summary of important criteria in relation to the issuing