qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such

various securities businesses which shall be subject to only one notification specifying rules of approval for investor contacts and standards of conduct. By virtue of: (1) Clause 10 of the Notification of

Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference (UNOFFICIAL TRANSLATION) PAGE (Translation) 8 Readers should be

Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) PAGE Readers should be aware that only the

undertake derivatives business in the category of derivative broker which is limited to only debt securities under the Notification of the Securities and Exchange Commission on granting of approval for

advertisement. Chapter 3 Rules for Advertising ------------------ Clause 8. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s

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

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the