made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted
conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those
commonly-accepted academic principal or the international standard as prescribed by the Association of Investment Management Companies (2) Duty of Care The management company should observe the duty of care
commonly-accepted academic principal or the Page 3 of 32 (Unofficial Translation) international standard as prescribed by the Association of Investment Management Companies (2) Duty of Care The management
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation
marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution
the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution channels. In case of export, specify the domestic
have the investment units of a public offering listed on the Stock Exchange of Thailand as well; (8) restrictions on the allocation and transfer of investment units (if any); (9) request for the