transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for
) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for communicating with and
) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for communicating with and
) in case where all units of the ASEAN collective investment scheme are offered for sale to institutional investors or ultra-high net worth investors, the investment policy in eligible asset types with
necessary measures in this area, e.g. asset management companies and financial institutions that sell mutual fund investment units were to disclose foreign exchange risk of foreign investment funds (FIF) more
such as Chairman of Clearing Committee of Thai Asset Management Corporation, prominent members of the Board of the Bank of Thailand, the Board of the Financial Institution Policy, the Board of
waived from the Office as provided in Section 98(7)(b). Clause 11. Management company shall provide and deliver information of investment or holding of the assets as asset of the management company to the
and deliver information of investment or holding of the assets as asset of the management company to the Office by accompanying with other information in which management company has the duty to deliver
company shall provide and deliver information of investment or holding of the assets as asset of the management company to the Office by accompanying with other information in which management company has
in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management