any securities; “general advice” means giving advice to any person regardless of the purpose of investment, financial position and desire of such person; “specific advice” means giving advice to any
advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow
operational results, as well as other information relating to the condition of such funds at each particular period, such as, details of investment, financial position, expenses and opinions of the fund
fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the fund
experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing
Cooperation. Investment Management Policy Department Tel: 0-2263-6246 The Hong Kong Monetary Authority, in conjunction with the People’s Bank of China and the Monetary Authority of Macao, launched the Wealth
objective of investment, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related
the management company is required to make a monetary compensation to any person who purchased or redeemed such investment units in the value less than Baht one hundred, the management company may
เลี้ยงชีพและกองทุนส่วนบุคคลรายย่อยลงทุนหรือมีไว้ได้ โดยให้นำเงื่อนไขตามที่กำหนดไว้ในหนังสือที่ กลต.น.(ว) 1/2551 มาใช้บังคับโดยอนุโลม ทั้งนี้ องค์การระหว่างประเทศ ได้แก่ World Bank International Monetary
, investment status and the approximate spending amount. In case of acquiring assets or investment in a business unrelated to the current one, clarify the reason(s) and the background of such asset acquisition