fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its

.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

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

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

the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of

balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall

lead to unfair treatment of investors, or the investors may not obtain correct or sufficient information to support their investment decision making; (5) the operation of the mutual fund is inconsistent