materially affect investors’ investment decision such as 1. serious damages 2. changing in issuer’s objects or the nature of business 3. events of default 4. entering into an agreement entrusting other persons
securities companies in underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4
underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4, Clause 5, Clause 6
securities companies in underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Investment Advisory >> ลักษณะที่ไม่ถือเป็นการประกอบธุรกิจหลักทรัพย์ ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. ประกาศ
Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher during the latest two calendar years prior to the
Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher1 during the latest two calendar years prior to the
Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher1 during the latest two calendar years prior to the
, according to the latest financial statement audited by an auditor; (10) a juristic person having total securities investment of one hundred million baht or more, according to the latest financial statement
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of