upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has

, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company

approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital

) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon the recommendation of the SEC. "securities

investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly

refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company

and factsheet; (3) record any recommendation in form of document or an audio file. In this regard, the intermediary shall request the clients to examine the content of recommendation recorded on