operation with the approval from the SEC or the Office or has restarted such transaction. (3) Any securities company, which is suspended by order of the SEC or the Office from undertaking securities business

advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the

Transaction Clause 13. Management company can engage in the affiliated transaction for the fund upon an approval from the Office in case as specified in Clause 14 or clearly specified in mutual fund management

shall prepare in writing (electronic transaction like e-mail) with an approval by the authorised person such as chief of Section requested, chief of computer division requested etc.. [M] · Providing an

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are

keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3 . Derivatives broker shall

such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in