exceeding one year and shall not have any restriction on selling or transferring before maturity; (3) investing in debt instrument avaled in full amount or unconditionally guaranteed by the Ministry of

time to maturity not exceeding one year and shall not have any restriction on selling or transferring before maturity; 3. investing in debt instrument avaled in full amount or unconditionally guaranteed

called differently; “Market price” means price of equity instrument in securities exchange or price of debt instrument which was offered by Thai Bond Market Association, as the case mat be; “Association

services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s

quantitative investment analysis such as an analysis of a financial statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest

such products or services to clients; (c) providing an instrument or media for personnel under (a) to clarify characteristics and risks of capital market products or services to clients, as deemed

. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other

Information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s information for the following purposes prior to providing services: (1) knowing the client ; (2

otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising

during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to