, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
capital market product not having complex characteristics as well as the product having high-risk or complex characteristics which could be categorized as follows: (a) complex instrument investment
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents
conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16
holding shares or share warrants which results in such person being a shareholder, or the share warrants’ holder having amount exceeding five percent of total shares sold or share warrants sold of such
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of
denominated in foreign currency , as well as being permitted to provide information or advice in accordance with the law which controls the business operation in the respective foreign country; (2) there is no
capital market products denominated in foreign currency , as well as being permitted to provide information or advice in accordance with the law which controls the business operation in the respective