client’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client’s assets shall be in
พิจารณาถึงความเหมาะสมในการลงทุน วัตถุประสงค์ในการลงทุน ฐานะทางการเงิน หรือความต้องการของลูกค้ารายใดรายหนึ่งเป็นการเฉพาะ (specific advice) ผู้ประกอบธุรกิจดังกล่าวต้องให้คำแนะนำโดยผู้วางแผนการลงทุนที่ได้รับ
securities brokerage, securities dealing, or underwriting of investment units is a commercial bank or a financial institution established under specific law whose securities business is limited to debt
institution established under specific law whose securities business is limited to debt securities, such licensee shall be exempted from the minimum fees under Clause 6 for undertaking such securities
to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund
have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund and
established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose
company; “Company” means any limited company or public limited company and shall include any juristic person established by a specific law with an objective to undertake businesses; “Association” means any
; “Company” means any limited company or public limited company and shall include any juristic person established by a specific law with an objective to undertake businesses; “Association” means any