SEC Office under this Notification shall be in accordance with the following criteria except when granted a waiver from the SEC Office as deemed necessary and appropriate: (1) the person having duty
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
following requirements; (1) initially acquires units of a trust not less than ten million baht; or (2) such person in (1) who acquires additional units, which results in the total value of not less than ten
Establishment and Management of Property Funds; “paid up capital” means the total value of the units which are paid in full. “REIT manager” means a person who performs the duty as REIT manager in accordance with
incorporation in the amount of more than 10 percent of the total number of the voting rights of such incorporation. In this regard, the shares held by such person shall be included in the number of shares held by
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
foncier companies; (Translation) -2- (5) insurance companies; (6) juristic persons but not include any juristic person as prescribed in (8); (7) international financial institutions; (8) government agencies
the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping
evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of