investors. There are two categories of investor contacts which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or sale or an investment in
contacts : the type A investor contact who conducts an analysis on the value or suitability of any trading or investment in derivatives, and the type B investor contact who does not conduct an analysis on
contacts: the type A investor contact who conducts an analysis on the value or suitability of any trading or investment in derivatives, and the type B investor contact who does not conduct an analysis on the
) -2- “mutual fund rating”2 means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
บัลูกคา้ (“KYC/CDD”) และการประเมินความเหมาะสมในการลงทุน (suitability test) (2.1) ตอ้งท า KYC/CDD อยา่งครบถว้นและเพียงพอเพื่อทราบและระบุตวัตน แนวทางในการปฏิบติัหนา้ท่ีของบุคลากรในธุรกิจตลาดทุน 5 หรือ
system, 6.3 an opinion on the compliance with the law on securities and exchange, the Exchange's regulations, or the laws relating to the Company's business, 6.4 an opinion on the suitability of an auditor
trading of each customer and analysis report or article on the value or suitability for trading in derivatives, underlying assets or variables as specified in a derivatives contract, as well as other
derivatives trading of each customer and analysis report or article on the value or suitability for trading in derivatives, underlying assets or variables as specified in a derivatives contract, as well as