requirements of such person; (12) “ specific advice ” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1
of a securities investment; (11) “general advice” means an investment advice given to any person without considering the investment objective, financial status, or requirements of such person; (12
Operations 31 4.5 Capital Requirements 32 4.6 Credit Ratings 33 5. Operations of Support Groups 35 5.1 Human Resource Management 35 5.2 IT Management 38 1 1. Overview of Operating Environment 1.1 Global and
where there are many types of investment units; (b) requirements with respect to allotment of investment units, transfer of investment units, and restrictions on allotment and transfer, as well as
requirements as specified in the Notification of the Securities and Exchange Commission concerning Operating System, Communication with Investors and General Performance of Trust Business as well as the rules
margin account shall comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on Investment Analysis and Consultation
comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on Investment Analysis and Consultation _____________________ Clause 22 In
financial condition. I. Meeting of Debt Securities Holders Disclose details relating to the requirements for convening, attending or voting at a meeting of debt securities holders, if such a meeting can be
Performances of K Companies and Muang Thai Life Assurance PCL 28 4.6 Capital Requirements 29 4.7 Credit Ratings 30 5. Operations of Support Groups 32 5.1 Human Resource Management 32 5.2 IT Management 34 1 1