damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive
Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive of Securities Companies _____________ By virtue of Section 16/6 and Section 103 (4) of
approved by the chief executive responsible for the line of work related to capital market of the intermediary . The investment guidelines of the intermediary shall have at least the following details: (1
information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel, who are responsible for
_____________________________ Clause 41 An intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services
a person responsible for introducing services acknowledges and comprehends such information well and would be able to instruct them to the client. 5 Amended by the Notification of the Capital Market
person responsible for management of foreign collective investment scheme. “home regulator” means a capital market supervisory agency of foreign country where a foreign collective investment scheme has