(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. 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 an...
(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. 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 an...
Notification stating otherwise. Clause 5 The prospectus shall comprise three sections as follows: (1) Fact sheet; (2) Fund facts; (3) Certification of accuracy and completeness. Clause 6 The particulars and
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
understanding of the financial reporting standards. Those in charge of accounting department and executives should emphasize on continuing professional education and encourage accounting staffs to attend seminars
distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and may have an impact on decision making of investors, shareholders
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
any of the following capital market products without solicitation for investment, who performs duties as an investment consultant under a signatory member of the Memorandum of Understanding on the ACMF
responsible person to be Thai nationality; (3) having compliance committee in order to consider facts in respect of violation of standards and ethics regarding appraisal profession. In this regard, at least
any of the following capital market products without solicitation for investment, who performs duties as an investment consultant under a signatory member of the Memorandum of Understanding on the ACMF