nature of the core business, the Company may need to form a relationship, reliance4 or competition against other businesses of the major shareholder materially, the Company should explain the structure or

the upcoming competition after the liberalization of securities business license, the securities company shall use their judgement in specifying the appropriated office hours. So it’s deemed necessary

companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other

prepared for the upcoming competition after the liberalization of securities business license in the future, this Notification is issued to determine the rules regarding permission to qualified securities

has flexibility in operating its business, able to increase its income and expand its customer to prepared for the upcoming competition after the liberalization of derivatives business license in the

competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and

, disclose the expenses spent on such research and development during the past three years. In case of none, specify so and explain the reason thereof as well. (2) Marketing and competition (a) Describe the

เปิดเผยข้อมูลด้วยตนเอง (self-declared) และพิจารณาขอเอกสารข้อมูลสินทรัพย์อื่น ๆ เพิ่มเติมจากลูกค้าได้ เพื่อตรวจสอบข้อมูลการ self-declared ของลูกค้าเท่าที่สามารถกระทำได้ (best effort) 3.1.2 การจัดทำคำแนะนำ

customers’ consent. Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest, take into account and

ขายหลักทรัพย์ผ่านผู้จัดจำหน่ายหรือไม่ และเป็นแบบใด (firm underwriting หรือแบบ best effort underwriting) (2) ผู้จัดจำหน่ายหลักทรัพย์ (กรณีผ่านผู้จัดจำหน่าย) ให้ระบุชื่อ ที่อยู่ และหมายเลขโทรศัพท์ (3