analysis” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment related
supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
, control and supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or
แนะนำทั่วไป (general advice) แก่ผู้ลงทุนในผลิตภัณฑ์ในตลาดทุนอย่างใดอย่างหนึ่งดังนี้ โดยมิได้มีการติดต่อเพื่อชักชวนให้มีการลงทุนด้วย ซึ่งบุคคลดังกล่าวเป็นผู้แนะนำการลงทุนจากประเทศที่มีการลงนามในโครงการตาม
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management company to provide advice or
management company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for
Advertising financial products and advice services: Good practice guidance ของ Australian Securities and Investments Commission ก าหนดว่า “When comparing financial products in an advertisement, products should