. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013 , in conjunction with Clause 12(2) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re
, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, in conjunction with Clause 12(2) of the Notification of Capital Market
5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
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subsequently to operate securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to
securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to securities borrowing and
e-service Online Submission See canceled document Securities Brokerage Business >> Know Your Clients Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
Notified Date Effective Date 1. Notification of Capital Market Supervisory Board Tor Thor. 1/2560 Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign