pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

during the period from fifteen days prior to the first offering date to the offering closing date or the date of providing overallotment shares in full, as the case may be, except for the dissemination of

relating to securities offering which is not a registration statement or draft prospectus during the period from fifteen days prior to the first offering date to the offering closing date or the date of

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

next consideration. Clause 13. The custodian who undertakes the business as a custodian prior to this Notification become effective, shall be deemed as a custodian approved by the Office and shall comply

for opening an account and the giving of advice to the client. Clause 22 Prior to opening an account for a client, the derivatives broker shall consider the client’s ability to place collateral and the

of the revenue code 5. Income (Loss) after income tax means net profit (loss) after subtracted by the income taxation and prior to the extraordinary items In a case of having a net loss, it shall

. Clause 14 A securities company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company

sufficient for confidential or critical information. In this regard, the mobile devices shall be registered prior to the intended use and such registration shall be reviewed at least once a year and upon any

big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force