market products without awareness of necessarily fundamental information for investment; (2) shall not make such promotion to be a lucky draw or a manner of drawing lots for finding the client who gets a

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...

Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking

conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five years from the date the particulars or transactions of customers have

SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws

committee before the appointment of such custodian. In seeking the consent under the first paragraph, the private fund management company shall explain the connection with the connected person under the first

Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a

seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit

giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from seeking benefits wrongfully by

importance to information technology security, integrity and availability; (e) preventing the business operator, directors, executives and employees from seeking benefits wrongfully by virtue of duty