a clearly statement that the securities company is not allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for
allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for managing the online branch office. Such person may be an
trading in derivatives contract to customer. Clause 8. The derivatives broker shall appoint a person responsible for managing the online branch office. Such person may be an officer from the head office or
not allowed to give an advice concerning derivatives contract or suitability of trading in derivatives contract to customer. Clause 8. The derivatives broker shall appoint a person responsible for
. The liquidator shall deposit the mutual fund’s assets into the custody of the fund supervisor, and shall be responsible for the deposit and payment of assets or money of the mutual fund. Clause 7
statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients
requiring derivatives broker to be responsible for such assets in full amount. 2 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 14/2555 Re: Custody of Assets of Clients by