management of property funds. “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or

dated 6 February 2008 shall be repealed. Clause 2. In this Notification: (1) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management

conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five years from the date the particulars or transactions of customers have

following businesses: (a) rail or pipe transportation system; (b) electricity; (c) water supply; (d) road, toll road or concession road; (e) airport; (f) deep sea port; (g) telecommunication or information

before its own interest where such trading or investment may constitute a conflict of interest with its client. Chapter 5 Communication with and Providing Services to a Client _____________________________

notifications and shall also have the detail of the mutual fund scheme that is unambiguous and easy to understand so that the investors can make decision in investing in the fund which is suitable for their

communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the

13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and

Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency

of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours