การจัดสรรครั้งต่อไป (Next Allowable Limit) หมายเหตุ ขออนุมัติวงเงิน 200,000 200,000 0 300,000 รายงานการใช้วงเงิน 100,000 200,000 100,000 300,000 ขออนุมัติวงเงิน 200,000 400,000 100,000 100,000 รายงานการ
(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature
customer should consider the suitability with the purpose of investment, financial position and customer’s acceptable level of the risk. Clause 15. In giving a specific advice, the investment advisory
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses
3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service branch office for the
form through the business operator reporting system in accordance with the SEC Office of the Securities and Exchange Commission’s rule on the electronic data interchange, unless otherwise permitted by
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
holidays. Clause 8. In the case where the securities company has been permitted to open on different hours and days from that indicated in Clause 3(1) prior to the effective date of this Notification, such