so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
income which the company has received from providing service to a client, such as investment advisor service fee, securities underwriting fee, fund management fee, clients’ asset management fee and
range of damages in the worst case scenario; (5) dispute resolution channel between clients and the derivatives dealer relating to the derivatives transaction. 9The provisions under Paragraph 1 shall not
category of investment consultant or derivatives intermediary in the category of derivatives advisor gives investment advice to clients by taking into account the appropriateness of the investment, the
ยืดหยุ่นผู้ออกหลักทรัพย์สามารถเปิดเผยข้อมูลที่เกี่ยวกับจำนวนเงินที่ใช้ หรือระยะเวลาที่ใช้เงิน โดยอาจเปิดเผยข้อมูลในลักษณะเป็นช่วง (range) ที่เหมาะสมได้ ดังนี้ (1) กรณีที่ประสงค์จะนำเงินไปซื้อสินทรัพย์หรือ
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for