financial consultant and his/her supervisor; (3) the guarantor, in the case of a guaranteed fund. In cases where any person under paragraph one is a juristic person, an authorized director of said juristic
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a securities company, Bank of Thailand or licensed to undertake securities business
preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither
records of clients’ assets from those responsible for physical keeping of such assets, and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither a person
fund or private fund management, or derivatives investment management company. “fund” means mutual fund and private fund. “investor” means any person interested in investing in capital market products
per annum, with the promise that the company would repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expired. At the time of the inspection
…..(date)….. and not guaranteed”; (8) the information under (5) and the statement under (7) shall be on the same page as the information under (3) and the font size of the information under (5) and the