complex capital market products by using the client’s information obtained from knowing the client process and assessment of suitability test; (5) provide the additional warning that risky or complex
operation monitoring. 5.1.2 The board should nurture innovation that enhances long-term value creation for the business in a changing environment. Such innovation may include designing innovative business
เรื่อง การดํารงเงินกองทุนสภาพคลองสุทธิ ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ. 66/2547 เรื่อง การดํารงฐานะทางการเงินของผูไดรับใบอนุญาตเปนตัวแทนซื้อขายสัญญาซื้อขายลวงหนา 2. การกําหนดระดับ early warning เกณฑป
significant changing is detailed as follows: Total Expenses for the three month of the year 2020 equal to Baht 234.72 million compared with the three month of 2019 which had amount of Baht 186.20 million by
upcoming challenges and trends affecting the country’s financial sectors due to the rapidly changing scenarios. The SEC Strategic Plan is also designed to further pursue capital market developments towards
-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due
under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return as
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
other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past performance of (specify the name of the fund) is not indicative of future performance
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return