persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and
) Financial Institutions established under specific law which is a financial institution under the law on loan interest rate of financial institution. Clause 16/1. A securities company shall get to know its
customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
Conflicts of Interest in Which an Intermediary Is Allowed to Get Involved _____________________________ Clause 22 In case an intermediary has a reasonable ground to enter into a transaction being conflicts of
company should know and be able to examine for incorrectness of the sum of each member’s savings to get the total amount to be payable to the fund and be able to identify each transaction that it is paid
infrastructure asset that the development plan of which is divided into phases and certain phase is not completely developed. Clause 11 The classification of units shall be under the following rules: (1) the same
) กองทุนรวมที่มีนโยบายลงทุนในทรัพย์สินกิจการโครงสร้างพื้นฐาน โครงการเดียว ซึ่งมีแผนพัฒนาโครงการเป็นส่วน ๆ (phase) โดยบางส่วนยังพัฒนาไม่แล้วเสร็จ ข้อ 11 การแบ่งหน่วยลงทุนของกองทุนรวมออกเป็นหลายชนิด ต้องเป็นไป