from the Office prior to such expansion or change. In the case where the management company has been permitted to establish a branch office which is not an online branch, the management company shall
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
Office. It is important to note that this is an unofficial English translation which has not been subjected to an official review by the SEC Office. Readers should be aware that only the original Thai text
commissions for fund from person who is a service provider due to engage the service from such person concerning management of fund, but shall comply with following rules: (1) Such soft commissions shall be the
21. Management company may obtain the soft commissions for fund from person who is a service provider due to engage the service from such person concerning management of fund, but shall comply with
Translation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
. (Translation) -4- Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody of securities company, or the
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 4 of 4 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly
Translation (Unofficial Translation) 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
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference (UNOFFICIAL TRANSLATION) Readers should be aware that only the