investment before providing services or making investment, provided that such process shall be made in accordance with the guidelines of the SEC Office; Clause 32 In case of communicating with and providing
Procedures for Brokerage, Dealing and Underwriting of Investment Units dated 3 August 2004. The Office of the Securities and Exchange Commission hereby issues the following regulations. Clause 1. This
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
advisory company under Clause 3 is unable to maintain collateral and liquid asset adequacy or in the process of amendment of adequacy under Clause 4(2), the investment advisory company shall not undertake
) “securities business license in the category of investment advisory service” means a license to undertake securities business in the category of investment advisory service under the law governing securities
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
systems, and investment management systems, etc; “ critical activities ” means the activities relating to providing services, entering into transactions or other activities of the intermediaries, in which