, complete and up-to-date. Also, the derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office
will not only benefit investor contacts in their performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to
director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
departmental director, a branch manager and shall also mean a person holding any equivalent position called otherwise who is in charge of the following business functions, as the case may be: (a) Business
or registration as securities business operator by foreign regulator, providing that ETF operator shall also appoint a contact person in Thailand for the purpose of coordinating and facilitating the