Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) , and Section 100, Section 109 and Section 117 of the Securities and
; (b) the information for the purpose of assessing clients’ suitability for investment in or entering into transactions of capital market products shall be revised and updated at least every two years
. Balance at the beginning of 25x0 x x x x x x X (x) x x 2. Accumulation from correction of mistakes x x x 3. Adjusted balance x x x x x x x (x) x x Alteration between two periods 4. Appraisal surplus x x 5
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of
company undertaking securities business. Investor contact are divided into two categories: Category A investor contact who can analyze securities investment and Category B investor contact who cannot
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in
title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories
who has duties to contact, solicit, advise or prepare investment plans for investors and are divided into two categories: Category A Investor Contact and Category B Investor Contact; “Category A
information or omitted to state any material information which should have been disclosed became known or should have been known, but not later than two years from the effective date of the Registration
disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35