units of open-end fund under management of such mutual fund management company, provided that, just in the case which the company cannot redeem investment units of such open-end fund appropriately due to

to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund

promotion by complying with the following rules: (1) shall not entice or urge a client by using sale promotion in order that the client will decide to use the intermediary ’s services or invest in capital

(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...

the responsible officer and a person having authority to decide and preparing the list of names and telephone numbers of related persons and notifying the responsible person (For example: call out tree