and Exchange Act (No. 4) B.E. 2008 stipulates that the prescription of the rules and determination of periods for submission of reports or demonstration of document of securities companies shall be the

Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification

complaint unit; (10) demonstration of the following statements in a rectangle with the letters of not smaller in size than the size of letters of general content: “Securities investment may encounter both

in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of

advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the

under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the

value of capital market product by [i] considering factors which impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction

impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction of an entity issuing capital market product and various business

intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1

clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as