been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of
marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
marketing policies of the major products or services during the prior year by way of, for example, general comparison with competitors (numerical data not required), customers’ characteristics, target groups
) distributing products or providing services to the state entirely; (d) selling products or providing services, either entirely or partially, to a private sector whereby such sale of products or provision of
directors, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (5) Not being involved in the management of any mutual fund in such a way
อสังหาริมทรัพย์ (ประมวล) การจัดกลุ่ม การจัดกลุ่มอุตสาหกรรม ในระยะแรกตลาดหลักทรัพย์ฯจัดหน่วยลงทุนของกองทุนรวมอสังหาริมทรัพย์ ไว้ในหมวดธุรกิจพัฒนาอสังหาริมทรัพย์ (Property Development Sector) เพื่อให้สอดคล้องกับ