. 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
branch office for the other securities business, it shall be deemed that the company has been permitted by the Office to establish a branch office to provide private fund management services for customers
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification
relevant standards of business operation; (3/1) having systems for communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having
relavant persons to acknowledge the occurrence of emergency incidents, the impacts happened, the communication channels for customers of relevant persons to contact for using services or to communicate with
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