of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the requirements under this
securities and exchange and relevant rules issued thereunder; (2) requiring the representative to act in compliance with the rules of selling or redeeming investment units or client solicitation , and to
compliance with the rules of selling or redeeming investment units or client solicitation, and to cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative
compliance with the rules of selling or redeeming investment units or client solicitation, and to cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative
Office under this Notification. Clause 19. All notifications, orders and circular letters issued under or providing guidelines for compliance with the Notification of the Office of the Securities and
compliance with the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 which were effective
compliance with the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 which were effective
extent that they are neither inconsistent with nor contrary to the provisions of this Notification until the orders and circular letters issued under or providing guidelines for compliance with this
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in