branch offices without an approval from the Office; (10) advertise its business, unless such advertisement is carried out in accordance with the rules, conditions and procedures as specified in the
company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities
submit the information on a short notice, the Office may not accept the course and the organizer will not be able to advertise the course as an accepted course for the renewal of approval for investor
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
shall keep the records of advice and trading order in accordance with the rule specified in the notification of the SEC Office. Clause 15. Derivatives broker shall not advertise any statement that may
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...