investment decision-making; such as date and offer price, earnings per share, and price-to-earnings ratio is also at your fingertips. Ten mutual funds categorized by investment policy are put in ?Mutual Fund
investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment consultant providing consultation only on capital market product not having complex
indirectly holds not less than 99 percent of total issued and fully paid-up shares 3. General characteristic of the transactions Master Service Agreement SPM SG is entitled to develop the Project Crossroads
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital
before making a decision to use the services and [ii] possible risks arising from using the services: (1) general information of the intermediary ; (2) characteristic, scope and condition of a service
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board