clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents
as investment advisor or derivatives investment advisor on the condition of not involving in the data collection or the data processing to publish advice on the website or electronic media, including
exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and
, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...