ลักษณะ non-discretionary กล่าวคือ บริษัทจัดการจะจัดการกองทุนส่วนบุคคลโดยซื้อขายหลักทรัพย์ตามคำสั่งของลูกค้าเพียงอย่างเดียวจะได้หรือไม่ เนื่องจากเห็นว่าการซื้อขายหลักทรัพย์ดังกล่าวเป็นการลงทุน
monthly remuneration of Baht 315,000 per month from the Company. Total monthly remuneration for 1 year will be Baht 3.78 million. In addition, the Company may consider giving her a discretionary bonus. The
) clients’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of
’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of such services; 3
shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of such services; 3 (12) clients’ asset An
ธุรกิจนายหนา้ซ้ือขายหลกัทรัพย ์ 4 Discre a/c (discretionary account) หมายถึง ใบอนุญาตประกอบธุรกิจการใหบ้ริการซ้ือขายผลิตภณัฑใ์นตลาดทุนโดยลูกคา้ ยนิยอมใหต้ดัสินใจแทนในขอบเขตท่ีจ ากดั 5 IA หมายถึง ใบอนุญาต
securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required
Company may consider giving her a discretionary bonus. The transaction size of the total remuneration for 1 year will be in the range of 1–20 million baht or 0.03% - 3% of net tangible assets (whichever is
of Baht 315,000 per month from the Company. Total monthly remuneration for 1 year will be Baht 3.78 million. In addition, the Company may consider giving her a discretionary bonus. The transaction size
, the most common of which relate to policy and legal actions, technology changes, market responses, and reputational considerations. Commodities: involves buying, selling, or trading a raw product, such