กรณีบริษัทจัดการกองทุนรวมและบริษัทจัดการกองทุนส่วนบุคคลที่มิได้ประกอบธุรกิจอื่น (Pure Private Fund) กำหนดห้ามมิให้มีการลงทุนในลักษณะ short term speculation (แก้ไขจากหลักการตามที่ประชุม focus group ก่อน

regard, the detailed feature of the certificate thereof shall be described in the report. Clause 6 In case of necessity where an offeror would not be able to submit the report as prescribed in this

employee shall contact an employee as scheduled. A significant change, such as, acquirement of additional business license, merger and acquisition or change of used technology. To focus on protecting

applicant for investor contact such as educational background, relevant work experience, and focus on the passing of course on relevant business knowledge and regulations, (2) to revise rules on applying for

information previously disseminated; (3) an article or research paper whose content does not emphasize or focus specifically on the underwritten securities or other related securities, compared to other general

paper whose content is an update of or an addition to information previously disseminated; (3) an article or research paper whose content does not emphasize or focus specifically on underwritten

understand the feature, risks and specific conditions of such capital market products every time before making a decision to invest. After having performed in compliance with the first paragraph, the

) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or reconsidering if the client insists to invest. After giving additional

shall perform the following conducts: (1) notifying the client ; (2) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or

ที่มีความมั่นคงปลอดภัย [ ข้อ 5.4 แนวปฏิบัติ 3 ทั้งหมด ] คณะทำงานกลุ่มย่อย AIMC ขอเป็น reasonable effort เนื่องจากระบบเก่า หรือระบบใหม่บางระบบ อาจไม่มี feature รองรับหลักเกณฑ์บางประการ สำนักงานได้ปรับ