engaged in cosign* custody arrangements;(d) Adjustment to the early warning level for business operators;(e) Revision of the net capital reporting forms and submission, aligning with the updated regulations
; (3) An issuance and offering of high-risk debt securities must clearly include the term, "High-Risk Bond" in the name of the securities. Additionally, a warning statement must be provided to investors
information necessary for decision making.?The key points of change include the requirement for the fund title and the advertisement warning to clearly state that returns are not guaranteed and pre-maturity
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
เวลาเทานั้น อาจทํา ใหมีปญหาเกี่ยวกับการควบคมุดูแลผูจัดการกองทุนในทางปฏิบัติ 1.2 กรณี upgrade คุณสมบัติดานความรูของผูจัดการกองทุน โดยมีทางเลือก ไดแก 1.2.1 ได CFA/ CISA 1 และมีประสบการณทํางาน 3
nature of the mutual fund’s utilization of its assets may cause uncertainty to the amount of its earnings, a warning that unitholders’ benefits or returns may be significantly affected, etc.; (3) a warning
Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the qualification as specified in Clause 4 and notify the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch