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
obligation etc.. 3. Securities purchased under a reverse repurchase agreement means a loan with an agreement to accept the transfer of a financial asset from the other party in exchange for cash or in return
electronic data transmission. (Translation) -2- Clause 5. This Notification shall apply to a financial statement of the accounting period ended as from 30 June 2006. Notified this 29th Day of June 2006
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
advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company
business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment advisory service, ranging from the level of the
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
(Translation) (Translation) PAGE (Translation) 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
(Translation) (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 undertake