Giving Advice to Client Clause 16.13 14 15 In contacting, soliciting, or giving advices relating to securities investment to investor or the client of securities company, or in analyzing a securities
ทั้งจะตอ้งใหค้ ำแนะน ำกำรลงทุน กำรคดัเลือก/ปรับเปล่ียนนโยบำย/แผนกำรลงทุนท่ี เหมำะสม (“good advices”) ในทุกคร้ังท่ี บลจ.มีกำรน ำเสนอนโยบำย/แผนกำรลงทุนให ้FC เช่น เม่ือตั้งกองทุน เม่ือมี กำรเปล่ียน บลจ
derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for
person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for derivatives and publicly
who is responsible for financial statements. 2.4 The board of directors are knowledgeable for the company business and have expertise beneficial to the company or can seek advices from experts in a
with SSG Capital dated April 3, 2019 in order to hire SSG Capital Management to provide advices and examine the financial management policy for the Company so as to improve the potential of the Company
on auditors and audit firms in the Thai capital market in comparison to foreign counterparts and to subsequently propose recommendations for the amendment to the guidelines for the oversight of
is effective by following standardized guidelines.On October 27th, 2022, the SEC conducted a public hearing to gather comments and suggestions on the proposed principle to the regulations governing
has taken the respondents’ comments and suggestions into consideration to enhance clarity and appropriateness of the aforesaid principles. In this regard, relevant regulations have been drafted and are