(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in
prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional
Commission Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s
(Mr. Somkid Jatusripitak) Minister of Finance Chairman of the Securities and Exchange Commission (Translation) Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management
Securities and Exchange Commission concerning Determination of Definitions in Notifications related to Offer for Sale of All Types of Debt Securities. Part 1 General Provisions ______________________ Chapter 1
intermediary shall comply with the provision as prescribed in Chapter 1; (2) in case of oversea representative office, the intermediary shall comply with the provision as prescribed in Chapter 2. The
rules: (1) in case of domestic or oversea branch office, the intermediary shall comply with the provision as prescribed in Chapter 1; (2) in case of oversea representative office, the intermediary shall
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The