. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
TRANSLATION) 2 “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or underwriting of
dated 6 February 2008 shall be repealed. Clause 2. In this Notification: (1) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management
Fund Management Services _____________ By virtue of Section 98(10) and Section 139(4) of the Securities and Exchange Commission Act B.E. 2535 (1992) as amended by the Securities and Exchange Commission
) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or underwriting of investment units by
income and services revenue Table 2 : Sales Revenue by Product Line for the Years ended 31 December (12M YoY) Sales by geography Consolidated financial statements Change Increase/(Decrease) For The Years
persons and communication, including clear detailed information for disclosure to relevant persons. Companies should arrange a call tree3 and a name list of customers, the main service providers and other
a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts or damage on investors or the