) ordering the intermediary, who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this Notification, to [i] amend or refrain to act or [ii] act any
security policy relevant to their job 18 function; (2) communicate to the employees and contractors that they should exercise precaution and refrain from using the organization’s information systems that may
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
that are aimed at protecting debt securities holders, which can require the issuer to take certain actions, or to refrain from taking certain actions. Examples of covenants include; (a) prohibition on
. BOT.ForNorSor. (23)c.276/2561 Re: Request for Cooperation from Financial Institutions to Refrain from Making or Being Involved with Cryptocurrency Transactions, dated February 12, 2018. The Bank of Thailand and
promotion; (c) elucidate complete, accurate or not misleading information to investors; (d) act or refrain from acting within the specified period in order 30 Amended by the Notification of the Capital Market
policy relevant to their job function; (2) communicate to the employees and contractors that they should exercise precaution and refrain from using the organization’s information systems that may likely
promotion; (3) provide investors with information that is complete, accurate, factual and not misleading; (4) act or refrain from acting in any way within a specified period in order for investors to make or
UNOFFICIAL TRANSLATION 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 Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...