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
2003. (Translation) -3- Clause 2.3 In providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual
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
Exchange Commission No. KorThor.29/2545 Re: Custody of Client Assets of a Securities Company (No. 2), dated 28 March 2002. (Translation) -3- (3) provide a contract or an agreement on the custody of client’s
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
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 also comply with
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