with the guideline. In this regard, advertisements launched by certain asset management companies and considered as compliance with the guideline have been chosen as examples for others,? said Deputy

required. Moreover, certain criteria will be applicable to the business operator such as (i) outsourcing policy and arrangement must be made in writing; (ii) contingency plan must be in place for the case

investment advice without any reference from analysis report or certification of Maybank Kim Eng Securities (Thailand) Plc. Certain statements contained in the said could make the client believe that he will

SEC and related organizations have complied with FATF standards. We are certain that the announcement will not directly affect capital market business. If there will be any indirect impact on private

addition, certain conditions may cause disadvantage to the company. Besides, the company has no manifest business plan after selling out its core assets, putting the company at risk of having operating loss

guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such bonds are entitled to redemption under a firm quotation price or at a minimum price pre-determined on the issue

Actions wide-ranging potential impact, in particular, security and system stability risks. Moreover, KBank can, if necessary, terminate services provided by certain partners to our customers. 2. Potential

such indebtedness amount could not be recorded as liabilities in the financial statement in line with the applicable accounting standards.  It was also found that there was evidence that certain

แบบแสดงรายการขอมูลการเสนอขายหุนกูท่ีมีอนุพันธแฝง (แบบ 69-DEBT-SP-1) บริษัท .......... (ชื่อไทย/อังกฤษของผูเสนอขายหุนกูท่ีมีอนุพันธแฝง) ใหระบุขอมูลในหนาปกอยางนอย ดังตอไปน้ี 1. ลักษณะที่สําคัญของหุนกูท่ีมีอนุพันธแฝง (“หุนกู”) ท่ีจะออกภายใตโครงการน้ี ดังน้ี (1) ชื่อหุนกูตามโครงการ (2) ประเภทผูลงทุนที่เสนอขาย (3) ลักษณะสําคัญของหุนกู (4) ปจจัยอางอิง (5) มูลคาการเสนอขายตามโครงการ ทั้งนี้ ตองไมเกินมูลคาตามมติท่ีไดรับใหออกหุนกู (6) มูลคาไถถอนของหุนกู (7) อันดับควา...

and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel