, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the

retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private

, risk and return of services or capital market products entirely before making a decision to use the services; (6) not urge the client to make a decision to invest [in capital market products ], but shall

a decision to use the services; (6) not urge the client to make a decision to invest [in capital market products ], but shall offer adequate time to the client for considering and making a decision

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request

and in the manner which facilitates prompt inspection by the Office upon request. Clause 12 . This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr

maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities

comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better

years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security