in Clause 13(1) (a) and (b); (2) In case of advertisement related to ratings or awards other than that specified in (1), the securities company shall present only information under (1)(b) 1. to 3
or awards other than those specified in (1), the securities company shall present only information under (1)(b) 1. to 3. Clause 11. In advertising the fund, the securities company shall at least have
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from
decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5
example, several appointments of new executives in the present year), give an estimate of such remunerations in the present year as well. (2) Other remunerations (if any) Specify other remunerations and
] · Keeping a program of prior to developed version for use in case of present version is out of work. [M] 2.6 Post-implementation test · Determining a test of developed or altered operational system after
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the private fund management company shall present its
intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services acknowledges and