Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section
and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange
branch offices without an approval from the Office; (10) advertise its business, unless such advertisement is carried out in accordance with the rules, conditions and procedures as specified in the
; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this
services to the client , as specified in details in Chapter 5; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified
institution having relationship as its parent company, subsidiary company, or associate company, the derivatives broker shall receive consent given in writing from the client prior to the foregoing process. The
has consented. Clause 4. The advertisement relating to provision of services of derivatives fund management shall not use words or statements, that are exaggerating, false or misleading. Clause 5 . A
associate company as an agent, the securities company shall inform its clients of such relationship as well. The definitions of the terms “ parent company ,” “ subsidiary company ” and “ associate company
audit work done by the other firm that includes as a part of the engagement such as subsidiary and associate? Please describe B Supervision and review responsibilities: 5 Has the firm established policies
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...