on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that

and a deficit, it shall demonstrate such items separately without setting off. /2 In case of the company have various categories of additional paid-in other capital (deficit), namely appraisal surplus

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

comparison or the difference between return from investment in the fund and other investments shall incorporate material information which enables the investors to understand the differences among various

Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but

selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the

according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each

” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management

) rating mutual fund and publishing the information on mutual fund rating with honesty, fairness, impartial, independence as well as due care for the sake of information recipients; (3) indicating the

in the Kingdom of Thailand, for supporting the management company to increasingly distribute investment units to investors and supporting investors to access more various investment channels, shall be