following cases: (1) in case of a mutual fund that offers all investment units for sale to persons who are not domiciled in Thailand, the mutual fund management company may prepare the financial statements in
advices about securities investment or securities investment analysis in the following cases: (1) Provide service for the institutional client where the securities company appoint a person who make a
cases: 10 Amended by Notification of the Securities and Exchange Commission No. KorYor. 56/2548 Re: Rules, Conditions and Procedures for Dealing of Debt Securities (No. 10) dated 16 November 2005. 11
who is not an investor contact to contact, solicit, or give any advices about securities investment or securities investment analysis in the following cases: 10 Amended by Notification of the Securities
following cases: 1. Having attended a refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards within the past two years prior to the
association or a training institute in any of the following cases: 1. Having attended a refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional
are independent directors. In cases in which an independent director of the derivatives broker dies, resigns, or his or her approval by the SEC office is revoked; or in the case that the derivatives
least one-quarter of the company’s directors are independent directors. In cases in which an independent director of the derivatives broker dies, resigns, or his or her approval by the SEC office is