market products by using the client’s information obtained from knowing the client process and assessment of suitability test; (5) provide the additional warning that risky or complex capital market
allocation prepared prior to investment. 3.2.3 Monitoring and Control of Investment (1) Having an early warning system to ensure that investment has been done in accordance with investment limit of each scheme
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or
with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or acceptance of the service or risks arising from the service, which is in form of document or other verifiable
securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment