company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
mutual funds under its management; (3) the fee for selling and accepting redemption of investment units shall be at the rate of 1 percent, calculated from the fee income that the licensee collects from
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
งอื่นๆ ที่มิใช่เพื่อการระดมทุนโดยตรง เช่น 1. เป็นเครื่องมือในการสร้างแรงจูงใจให้แก่กรรมการและพนักงาน 2. เป็นของแถม (sweetener) ที่ควบไปกับการเสนอขายหลักทรัพย์อื่น เพื่อดึงดูด ให้ผู้ลงทุนสนใจซื้อ หรือเพื่อ
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the
through its representative office. Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and