hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
other persons to submit the Application Form for registration of SEC Account or using the Username of SEC Account for personal gain or causing damage to other persons without consent from the data subject
Username of SEC Account for personal gain or causing damage to other persons without consent from the data subject. Any violator in such manners above shall be subject to penalties as prescribed by law; 9
) information according to sub clause (a) and (b) arranged in form which the client would be able to understand correctly and without being mistaken; (4) the advertisement shall have appropriate caution regarding
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
. Rights and duties of employers and employees have been revised to improve the level of protection for employees to be in accordance with international standards. In essence: (1) Prior consent must be given
customers’ consent. Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest, take into account and
specified in the notification of the Office shall be subject to customers’ consent. (Translation) 5 Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using
subject to customers’ consent. (Translation) 5 Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest