following: • Types of fund shall be classified in accordance with the requirements specified in the Notification on Investment of Funds regarding fund labeling (such as fixed income funds, money market funds
consideration method is 47.50 percent. The transaction is classified as a Class 2 Transaction according to Notifications on Acquisition or Disposal that is transaction value equal or greater than 15 percent but
Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
ธุรกิจ มีดังนี้ (เรียงตามล าดับของการให้บริการที่เข้ามามี บทบาทในการบริหารจัดการทรัพย์สินของลูกค้าจากระดับน้อยไปถึงมาก ตาม ถึง ) Advice / portfolio advisory : การให้บริการให้ค าแนะน าการลงทุนใน
date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as
securities 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
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