results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the

services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge

has consented; (3) Clearly determining the customer’s rights particularly the right to receive information with respect to derivatives fund management; (4) Having necessary information and warnings

5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following

in sub clause (1) shall be able to prevent: (a) improper modification, disappearance and destruction; (b) using and accessing such stored things wrongfully, inappropriately and unlawfully, especially

accessing such stored things wrongfully, inappropriately and unlawfully, especially the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a

shall apply particularly for mutual fund management company and private fund management company which is a limited company or a public limited company under the provision in clause 2(6) of Ministerial

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...

countries; (2/1) giving advice by foreign derivatives business operators which is specifically intended for institutional investors and concerns derivatives contracts overseas in which institutional investors

Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms