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exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause 57; (c) additional systems as stipulated by other notifications. In

the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the

retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private

following specific services: (a) investment analysis for capital market products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or