different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of
product in support of their investment decision making; (3) To disclose the fees charged to the clients by the intermediary . Clause 8 In case of providing services to clients who are subject to the
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
lead to unfair treatment of investors, or the investors may not obtain correct or sufficient information to support their investment decision making; (5) the operation of the mutual fund is inconsistent
system related to investment unit trading and fund management as defined in the notification concerning support system provider. “ the notification concerning support system provider ”4 means the
for selecting an analysis/a research to support an investment decision. (4) Prescription of criteria in selecting each asset/group of asset to be actively or passively* invested in order to reduce risk
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Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________