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
mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed
such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
วางแผนการลงทุน (Asset Allocation) ตราสารหนี้ กองทุน ตราสารทุน สัญญาซื้อขายล่วงหน้า ตราสารหนี้1 กองทุน2 ตราสารทุน สัญญาซื้อขายล่วงหน้า 1. นักวิเคราะห์การลงทุนปัจจัยพื้นฐานด้านตลาดทุน ( ( ( ( ( ( ( ( ( 2
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
by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
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
ให้ผู้ประกอบธุรกิจต้องแจ้งให้ลูกค้าทราบถึงผลการประเมินความเหมาะสมในการลงทุนหรือทำธุรกรรม (“suitability test”) พร้อมทั้งให้คำแนะนำเบื้องต้นเพื่อให้ลูกค้าเข้าใจเกี่ยวกับ basic asset allocation ซึ่งจะมีผล
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
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