retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
allocation prepared prior to investment. 3.2.3 Monitoring and Control of Investment (1) Having an early warning system to ensure that investment has been done in accordance with investment limit of each scheme
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust business upon obtaining a license to undertake