efficiency and security 3. Having a complete process of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an
business relationship, investment, or administration and management of the issuer, for example, customers, suppliers of raw materials, potential business partners of the issuer, the affiliated companies of
company shall propose an investment policy appropriate for the clients after an assessment of their investment objective, investment experiences, financial status, financial obligations, investment
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
clients or the custodian within the period mutually agreed upon by the private fund management company and the clients; (2) In the case of management of a provident fund, the private fund management
* Maintaining clients' assets in custody 25 million baht** Providing management services of Mutual Fund (MF), Private Fund (PF) Derivative Fund Manager (DF) to general investors 25 million baht Providing
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing