effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
requirements of such person; (12) “ specific advice ” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice
specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other
) not having a demeanor of unfair act or taking advantage of investors on trading or investing in capital market product , or participating in or supporting such acts performed by other persons. Clause 24
where no specific notifications prescribe the rules related to the matters of funds in Paragraph 1, the management company shall comply with other notifications prescribing such rules for general mutual
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing