through computer and limit its services to the scope set forth in Clause 7. Chapter 1 Full-service Branch Office and Online Branch Office --------------------------- Clause 4. It shall be deemed that the
such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in
provides services within the scope approved for such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3
revise the rules to allow a person or a group of persons to hold investment units of any retail fund not exceeding one-third of the total units sold.In case of exceeding the unit holding limit as specified
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code