managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
assets ” means total sum of the following assets: (a) cash and bank deposit; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bill of exchange
) cash and bank deposits; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bills of exchange issued by financial institutions under the law on
กลยุทธ์การลงทุนครั้งเดียวแล้วถือตราสารจนครบกำหนดอายุ (buy and hold) ไม่ได้ป้องกันความเสี่ยงจากอัตราแลกเปลี่ยนทั้งจำนวน บริษัทจัดการและ LBDU ต้อง ไม่เปิดเผยการคาดการณ์ผลตอบแทนในอนาคต 4. ในการทำรายการสั่งซื้อ
hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the period
on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
|3100412547854||1236547||||10300|32|T||T|| 182|2548|P|15|12|2547|2189000.00000|21890000.00000|10.00000|9000.00000|90000.00000|M|09|11|2505|01|3100258965478||3654785||||10400|32|T||T|| 182|2548|C|03|05|2547
securities company; or (b) an appointment is made in accordance with Section 145; (c) the securities company is a state enterprise under the law relating to budget procedures. (8) being a manager or a person
adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or (2) contains the client’s name