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) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place

of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or the

offeror of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or

unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first

information filed with the Office. Clause 9. To ensure that the management of private funds shall be duly carried out in accordance with customers’ objectives and needs, each private fund management contract

it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a

_____________________________________________________________________ Remark : The investment management of mutual funds and private funds shall be carried out by fund managers with qualifications and appropriate characteristics i.e. having knowledge, ability, honesty

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...