(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...
agent must perform his or her duties in accordance with this notification. The securities company shall inform its client about the appointment of an agent to the client’s assets without delay. In the
perform his or her duties in accordance with this notification. The securities company shall inform its client about the appointment of an agent to the client’s assets without delay. In the case where the
writing to exercise his/her right to purchase the assets based on the remaining debt amount. If the lessee does not exercise his/her right, the lessor shall then inform the guarantor in writing to exercise
financial consultant and his/her supervisor; (3) the guarantor, in the case of a guaranteed fund. In cases where any person under paragraph one is a juristic person, an authorized director of said juristic
on his or her own. The SEC Office will ensure that the legal representative or the person who uses the parental power has acknowledged or consented, as the case may be, in accordance with the Personal
the personal data of minors. For any activity related to the SEC Office, it is assumed that a minor cannot perform this activity on his or her own. The SEC Office will ensure that the legal
commonly-accepted academic principal or the international standard as prescribed by the Association of Investment Management Companies (2) Duty of Care The management company should observe the duty of care
company should observe the duty of care in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for