, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
provide such information to clients which shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
structured note (ข้อ 5 และข้อ 7) กำหนดให้ MF PVD และPF ลงทุนในสัญญาซื้อขายล่วงหน้าและ structured note ได้ โดยในกรณี MF PVD และPF รายย่อยสำนักงานจะกำหนดหลักเกณฑ์การลงทุนเพิ่มเติม เนื่องจากเป็นการลงทุนที่มีความ
Capital Market Supervisory Board concerning Offer for Sale of Newly Issued Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial
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
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
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.