analysis which the investment advisory company deliver to a customer; (4) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less

emergency case · There must have a detail of device that using in emergency case o the system’s work Peopose to Modify to “specification” IT Club Approve with the comment of the company. · It should

the clients; (3) Other assets shall be segregated in a manner that such assets can be clearly identified that they belong to the clients. Clause 19. A securities company may negotiate with the client on

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 any

of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and reliable information, documents or

; “Office” means the Office of the Securities and Exchange Commission. Clause 3. The securities company shall prepare a financial statement in accordance with the format annexed to this Notification and shall

3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service branch office for the

management company shall comply with the following rules: (1) a person to be appointed shall be a person whose name is on the register of persons qualified to be fund manager. In this regard, the management

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

trust business, using name, describing or advertising itself as a trustee or any other word of the same meaning shall be liable to imprisonment for a term not exceeding six months or a fine not exceeding