established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through

particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any

service and securities underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (3) The securities

fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the fund

advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow

Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34

of Section 100 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), which contains certain provisions in relation to restriction of rights and liberties of persons which Section 29 in

Securities and Exchange Act B.E. 2535 (1992) and Section 139(5) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.2) B.E. 2546 (2003) which contains certain

-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools for

) keeping such stored information according to the specific periods as prescribed by other particular notifications (if any). Chapter 4 Prevention and Management of Conflicts of Interest