Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual
a clearly statement that the securities company is not allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for
not been approved by the Office, the company shall state [in the advertisement] that the mutual fund is under the Office’s consideration for approval of establishment and management. Clause 9. In case
where the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state in the advertisement that the mutual fund is under the Office’s
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
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
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref TRANSLATED VERSION As of May 10, 2011 Readers should be aware that only
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference (UNOFFICIAL TRANSLATION) PAGE (Translation) 8 Readers should be