Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services
with the following regulations: (1) specifying portfolio advisory or investment strategy of program trading shall comply with Division 1; (2) execution of trading order of capital market products
the order of the Capital Market Supervisory Board or the Office under Section 141, Section 142 or Section 143 of the Securities and Exchange Act B.E. 2535 (1992). (5) for the period of twelve months
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
-depth information on each client in order to specifically plan and provide investment consultation on capital market product in line with the risk tolerance and the investment objective of each client
consultation by incorporating in-depth information on each client in order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment
classified under Clause 11(2)(a) whereby the returns or reimbursement of capital will be paid in order to the unitholders of different unit class; the management company shall allot the units in the class
not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By