, proportion of content and form of presentation in order that a client would be able to receive necessary and useful information for using the intermediary ’s service or for making a decision of investment in
of content and form of presentation in order that a client would be able to receive necessary and useful information for using the intermediary ’s service or for making a decision of investment in
standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
during any period of twelve months without performing any acts deemed to be presentation of oneself as derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries
supplementing documents. Clause 7. The custodian may commence such securities business only after the Office has approved that the custodian has arranged its operation system and personnel to be ready to
property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a significant change
operation and shall demonstrate to the Office that such fund supervisor has arranged to have systems ready for the operation of fund supervisor business under Clause 2(4) and shall have the personnel of the