in the Kingdom of Thailand, for supporting the management company to increasingly distribute investment units to investors and supporting investors to access more various investment channels, shall be
Kingdom of Thailand, for supporting the management company to increasingly distribute investment units to investors and supporting investors to access more various investment channels, shall be conforming
agents; (2) derivatives dealers, unless the clients are institutional investors under Section 3 of the Derivatives Act B.E. 2546 (2003) and the Notification of the Securities and Exchange Commission Re
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
“ service provider ” means service providers who contact or provide service to investors on behalf of intermediaries or service providers of critical function and of any business which is related to
company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities
intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested
reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional
following regulations: Clause 1 The Notification of the Securities and Exchange Commission No. Kor Chor. 9/2555 Re: Determination of Definitions of Institutional and High Net Worth Investors dated 9 July 2012
its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office