_____________________________________________________________________ I/We have duly examined the information contained in this application form hereto and declare that to the best of our knowledge and belief all information given in this application form and the
/We have duly examined the information contained in this application form hereto and declare that to the best of our knowledge and belief all information given in this application form and the documents
_____________________________________________________________________ I/We have duly examined the information contained in this application form hereto and declare that to the best of our knowledge and belief all information given in this application form and the
_____________________________________________________________________ I/We have duly examined the information contained in this application form hereto and declare that to the best of our knowledge and belief all information given in this application form and the
and belief all information given in this application form and the documents enclosed are true, accurate, and complete. The text of each document is the same as that previously submitted to the
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business or capital market
professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or
(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...
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and