Translation (UNOFFICIAL TRANSLATION) 1 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can
TRANSLATED VERSION As of June 3, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 27 Notification of the
UNOFFICIAL TRANSLATION Codified up to No. 12 As of 14 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
(Unofficial Translation) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 4 Notification of the Securities and
(Unofficial Translation) 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 Securities and