limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque

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

there is a class of units that will receive the returns or the reimbursement of capital later than other classes, the said class shall be offered specifically to major investors only; (3) if the fund will

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