information previously disseminated; (3) an article or research paper whose content does not emphasize or focus specifically on the underwritten securities or other related securities, compared to other general

paper whose content is an update of or an addition to information previously disseminated; (3) an article or research paper whose content does not emphasize or focus specifically on underwritten

of derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives

กรณีบริษัทจัดการกองทุนรวมและบริษัทจัดการกองทุนส่วนบุคคลที่มิได้ประกอบธุรกิจอื่น (Pure Private Fund) กำหนดห้ามมิให้มีการลงทุนในลักษณะ short term speculation (แก้ไขจากหลักการตามที่ประชุม focus group ก่อน

of the securities company and shall be categorized into a margin account or a cash account, as the case may be. The client’s asset account under the first paragraph shall at least contain the following

anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry

trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment

employee shall contact an employee as scheduled. A significant change, such as, acquirement of additional business license, merger and acquisition or change of used technology. To focus on protecting

applicant for investor contact such as educational background, relevant work experience, and focus on the passing of course on relevant business knowledge and regulations, (2) to revise rules on applying for

disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35