Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
. 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
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
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
the Office governing rules, conditions and procedures for establishment and management of property funds. (UNOFFICIAL TRANSLATION) 2 “Advertising” means communication made to the public regarding sales
dated 6 February 2008 shall be repealed.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
) “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
that employees undergo required training. 5. DISCLOSURE AND COMMUNICATION WITH MARKET PARTICIPANTS 5.1 A CR Code, should be complete, fair, accurate, timely, and understandable to investors and other