Standard แก้ไขเพิ่มเติม พฤษภาคม 2561 เอกสารเปิดเผยข้อมูลความเสี่ยงเกี่ยวกับการลงทุนในหลักทรัพย์ต่างประเทศ การลงทุนในหลักทรัพย์ต่างประเทศมีความเสี่ยง ผู้ลงทุนอาจสูญเสียเงินลงทุนไม่ว่าทั้งหมดหรือบาง
shall come into force from 16 May 2015. Clause 2 In this Notification: “ Notification on Standard Conduct of Business ” means the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556
related to Acts That May Cause a Conflict of Interest _______________ Clause 16 In complying with Clause 23 of the Notification on Standard Conduct of Business , which requires sufficient and appropriate
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the
, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and
Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
investment scheme units ” means the units of a foreign collective investment scheme established in ASEAN countries (ASEAN Collective Investment Scheme), which may be offered for sale in Thailand under the
foreign collective investment scheme ”2 means the unit of a foreign collective investment scheme , which may be offered for sale in Thailand under the Notification of the Capital Market Supervisory Board
Supervisory Board by virtue of Section 6 of the Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. This Notification shall come into force as from 1 May 2008. Clause 2