. Clause 15. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
would easily access and acknowledge such information e.g. disclose information on a web site. The disclosed information should have at least the following particulars (details are under Appendix Kor) (a
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section of Physical and Environmental
management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web site of the management company. In case there is
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of