, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information
person: Email: Warnings: An investor considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If
material update (effective date on _____________________ ) ( Form 69 – CIS material update (effective date on _____________________ ) Warnings: An investor considering the purchase of units of foreign
local representative: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Warnings: An investor considering the purchase of units of
consideration for approval of establishment and management. Clause 4. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
and reliable information, and without misleading information. Clause 29 In case an intermediary has other businesses apart from services relating to investment in and transaction of capital market