should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which
เบื้องต้นเกี่ยวกับการจัดสรรและกำหนดสัดส่วน การลงทุน (“basic asset allocation”) ผู้ประกอบธุรกิจสามารถใช้ basic asset allocation รูปแบบมาตรฐาน ที่สำนักงานจัดทำขึ้น (ตามสิ่งที่ส่งมาด้วย 2 ) เพื่อประกอบการให้
transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry
in such a manner that does not comply with the fair allocation principle; and (7) a person to whom an offeror of newly issued securities is not allowed to allocate securities under the Notification of
investment limit , the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard
marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution
assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits