Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 3) B.E. 2546 (2003), paragraph two of Section 133 and paragraph one of Section 134 of the Securities and Exchange Act B.E
professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
fund manager s; and (4) derivatives advisors. Division 1/1( Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that
service, an intermediary shall provide the service as the client ’s demand and shall conform to the following standards: (1) provide service to the client as soon as possible and review for ensuring that
intermediary shall provide the service as the client ’s demand and shall conform to the following standards: (1) provide service to the client as soon as possible and review for ensuring that the service meets
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and ensuring
clients’ suitability for investment in or entering into transactions of capital market products shall be revised and updated at least every two years; (c) the information for consideration of clients
names of the executive(s) responsible for the audit quality control in the previous accounting period, together with their opinion on the effectiveness of the audit quality control, the independence in