Effective Date 1. Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies
of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied
found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and
Bangkok, February 6, 2015 ? The SEC has supported Phoenixict Pte Ltd. and the communication and technology-based alliances from both the public and private sectors in organizing the first
guidelines for the personnel of the intermediary; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the
) (DGA) for the Integrity and Transparency Assessment (ITA), the National Archives of Thailand, etc.; Audit firms; Regulatory agencies relevant to local and foreign capital markets. In disclosing your
example, Damrongtham Center, the Federation of Accounting Professions, the Digital Government Development Agency (Public Organization) (DGA) for the Integrity and Transparency Assessment (ITA), the National
according to the definition by the National Institute of Standards and Technology (NIST); “outsourcee” means the external parties engaged by the intermediary in the operation on an ongoing basis and must