relevant rules and regulations and professional ethics and standards, which is administered by an association or a training institute, for a period of time not exceeding two years on the date of submission
undertaking of finance, securities and credit foncier businesses, securities company under the laws governing securities and exchange, life insurance company under the laws governing life insurance or financial
Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management
business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not
and rules issued under such laws, including the performance standards as specified in the notification of the Office or by the association with the approval of the Office; and (4) Refrain from violating
regulatory association approved by the Securities and Exchange Commission; “Mutual fund” means any mutual fund established under the laws governing securities and exchange; “Marketing agent of fund manager
Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment Management Companies; Chairman, Securities Analysts Association; Chairman, The Thai Life Assurance Association
Notification of the Office of The (Translation) PAGE (Translation) -4- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE 2 Readers should be aware that only the original Thai text has legal force and that this English translation is
Notification of the office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is