1(1) (2) or (3) who has notified and excecuted the intention to comply with the Notification of the Capital Market Supervisory Board concerning Temporary Rules for Undertaking Business of Certain

branch offices without an approval from the Office; (10) advertise its business, unless such advertisement is carried out in accordance with the rules, conditions and procedures as specified in the

it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place

of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or the

offeror of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or

unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first

information filed with the Office. Clause 9. To ensure that the management of private funds shall be duly carried out in accordance with customers’ objectives and needs, each private fund management contract

_____________________________________________________________________ Remark : The investment management of mutual funds and private funds shall be carried out by fund managers with qualifications and appropriate characteristics i.e. having knowledge, ability, honesty