. 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
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of
nature of investors does not correspond to the scheme as approved by the Office. Once the approval has ceased, the management company shall fairly return payments for subscription for investment units to
conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with
issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to