have contact persons with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
with this Notification. Clause 14. All the Notifications, orders and circular letters, under Clause 1, issued under or providing guidelines for compliance with the Notification of the Securities and
entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is
purchase or sell the following securities during the period from five days prior to the first offering date to the offering closing date or the date of providing over-allotment shares in full, as the case
express opinions independently from the following persons: (a) the persons who will sell, transfer, lease or grant the rights in the infrastructure asset to the fund; (b) the common person group of (a). (2
units of the new mutual fund or the mutual fund which accepts the transfer of assets. Clause 3. All notifications of the Office of the Securities and Exchange Commission, orders and circular letters
management company shall appoint an institution of finance or juristic person established in a foreign country which has legitimacy to sell investment unit or receive investment unit redemption under the law
management company shall appoint an institution of finance or juristic person established in a foreign country which has legitimacy to sell investment unit or receive investment unit redemption under the law