Microsoft Word - คำอธิบาย บล 5 คำอธิบายประกอบการจัดทำรายงาน Activities Report คำอธิบาย ขอ 1 รายละเอียดลูกค้า (1) รายละเอียดการให้กู้ยืมเงินเพื่อซื้อหลักทรัพย์ ใหรายงานรายละเอียดยอดรวมเกี่ยวกับการทำ

confidence in the Thai capital market or; (4) the establishment of the fund may cause damage to the investors or may deprive the investors of a fair treatment or the investors may not receive correct and

in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The

effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system

obtaining the license. Clause 10 This Notification shall come into force on the next day of its publication in the Government Gazette. Notified this 12th day of October 1996. (Mr. Bodee Junnanon) Chairman

professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or

) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business or capital market

on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the

broker shall send the confirmation statement and additional evidence of margin call prescribed under Paragraph 1 to customers through the method agreed upon by the customers within the next business day

การจัดสรรครั้งต่อไป (Next Allowable Limit) หมายเหตุ ขออนุมัติวงเงิน 200,000 200,000 0 300,000 รายงานการใช้วงเงิน 100,000 200,000 100,000 300,000 ขออนุมัติวงเงิน 200,000 400,000 100,000 100,000 รายงานการ