branch offices without an approval from the Office; (10) advertise its business, unless such advertisement is carried out in accordance with the rules, conditions and procedures as specified in the
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or the
offeror of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or
information filed with the Office. Clause 9. To ensure that the management of private funds shall be duly carried out in accordance with customers’ objectives and needs, each private fund management contract
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a
unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first
disciplinary action carried out by the securities company: (a) a forced collateral; (b) a forced sale of or buy in the securities; (c) a suspension of payment which the client is entitled to be paid by the