shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this

The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this Notification, and upon compliance with

the following details. In addition, such method and procedure shall be consistent with and suitable for each type of capital market products or services: (1) a procedure for preparing communication and

consistent and suitable for the risks and complexity of each type of capital market product by taking into consideration the best interest of clients. In addition, such communication and provision of services

of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following

giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand

per share. In case of having other securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able

stipulate that it is the duty of the intermediary to do as such; (5) ensure that its providing services are consistent with the intention of the client and perform at least as follows: (a) provide