of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to
; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of
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
. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make
: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin
structured note (ข้อ 5 และข้อ 7) กำหนดให้ MF PVD และPF ลงทุนในสัญญาซื้อขายล่วงหน้าและ structured note ได้ โดยในกรณี MF PVD และPF รายย่อยสำนักงานจะกำหนดหลักเกณฑ์การลงทุนเพิ่มเติม เนื่องจากเป็นการลงทุนที่มีความ