branch offices without an approval from the Office; (10) advertise its business, unless such advertisement is carried out in accordance with the rules, conditions and procedures as specified in the

of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or the

offeror of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or

security within the organization in order that operation cross-check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to

undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place

unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first

has rendered improper benefit to a client differentiated from it should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out

information filed with the Office. Clause 9. To ensure that the management of private funds shall be duly carried out in accordance with customers’ objectives and needs, each private fund management contract