which must be approved by the Office prior to distribution. (UNOFFICIAL TRANSLATION) 3 Clause 5. To advertise, in any cases, the securities company shall comply with Advertising Rules as prescribed under
effectively. It must comprise at least 5 directors and should not be more than 12 directors, depending on the company’s size, type, and complexity of the business. 3.1.3 The proportion between executive
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the investments on the
regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the investments on the basis of integrity and
registration statement. If the registration statement contains any false statement or omits to state any material information which should have been disclosed, the unit holders shall be entitled to claim damages
.. (Translation) Page 1 of 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake
.. (Translation) Page 3 of 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the