the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3
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
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
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
Dealing which are not Debt Instruments (No. 8) dated 28 February 2005. (Unofficial Translation) Page 3 of 12 Clause 3. In this Notification, the provisions relating to a company licensed to undertake
Translation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
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
client of the operation according to (a); (c) Disclose the repurchase price to the client; (d) Ensure that responsible staff provides correct information to the client; (3) Provide service for client
premise of the securities company; (3) Arrange to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such