such assets, and for internal control to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for
to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for controlling the inflow and outflow of
receivership, being an insolvent, an incompetent or a quasi-incompetent person; 3 (b) having been sentenced to imprisonment by the court’s final judgment as a result of guilty in market abuses of securities or
specified by the intermediary , for instance, requiring the client to deliver additional information or suspension of service for the purpose of preventing or inhibiting the action of market abuses or
market abuses or improper investment or transaction; (8) having information relating to the process for resolution of dispute arising from providing services. Chapter 6 Advertisement and Sale Promotion
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...