twelve months prior to the date the branch office starts its operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
gradually every 30 days until the investment contract expires. Such aforesaid conducts of Marnfah Group, Lederer (Thailand) and their respective authorized directors were liable to public offering of
this Notification or has improper conducts, the SEC Office may order such person to rectify, act or omit from any act for compliance with this Notification. Clause 10 All notifications of the Office of
any derivatives broker violates or fails to comply with this Notification or rules set out by the derivatives broker for compliance with this Notification or has improper conducts, the SEC Office may
e-service Online Submission See canceled document IP/FG >> Appoint/Approval/Code of conducts and Standard Practices Type Title Section See Document Status Notified Date Effective Date 1. Act
; 3. T he investment policy shall not be specified with the features of a feeder fund under the Notification on Investment; 4. The mutual fund shall not have the policy to invest in derivatives or