information different from registration statement in the filing /not implying or guaranteeing returns (excepted for projection figures), and entailing warning statements of risks. Investments Investments in
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to
approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
ขายหลักทรัพย์ การค้าหลักทรัพย์ และการจัดจำหน่ายหลักทรัพย์ที่เป็นหน่วยลงทุน (LBDU) โดยให้การดำรงเงินกองทุนอยู่ในรูปแบบผันแปร (variable capital) ตามรายได้หรือค่าใช้จ่ายของการประกอบธุรกิจ เพื่อให้สะท้อน
, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc (Translation) arising from or related to
with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc