finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
of disseminating or distributing documents or advertisements produced by the securities company. Clause 18. In cases where it appears to the Office that the securities company fails to comply with the
distributing documents or advertisements produced by the securities company. Clause 14. In cases where it appears to the Office that the securities company fails to comply with the advertising rules prescribed
of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to comply with the law, related Notifications and
of an entity issuing capital market product and various business risks and [ii] analyzing past and present performance so as to forecast future performance. “ technical analysis ” means an analysis by
, I hereby acknowledge that, for the purpose of rendering consideration whether to list my name onto the Issuing Company’s Director and Executive Database, the SEC Office will take the following
from 16 April 2008. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and Exchange Commission Remarks: The reason for issuing this Notification
Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker
transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for