case may be, except for the group of securities companies under Clause 2(1) which has obtained a license for establishing a securities trading center in any manner other than a license under regulatory
under Paragraph 4 of Clause 5, as the case may be, except for the group of securities companies under Clause 2(1) which has obtained a license for establishing a securities trading center in any manner
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. (UNOFFICIAL TRANSLATION) 3 Clause 5. To advertise, in any
of the Securities and Exchange Commission. Chapter 1 General Rules ------------------ Clause 4. The securities company is allowed to advertise, except for the advertising made pursuant to Chapter 2
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated return, except for estimated return specified in Clause 9; (3) information
meeting appointment letter to the committee not less than seven (7) days before the meeting except the case of urgent meeting to preserve company’s benefit, then, the meeting appointment will be sent to the
Bangkok 19000, Thailand Hotline: 1207, Tel: +66 2033 9999 Remarks: (1) Business days from Mondays to Fridays except holidays specified by the SEC Office; (2) Documents may be submitted and checked for