are likely to have improper behavior and have adverse impact on clients and mutual funds. The personnel to be included are, for example, the person with supervisory functions and the assistants of the
suitability test before letting clients make an investment, as specified by the SEC regulation. ?Our mission is to protect investors as well as facilitate fundraising for business sectors and develop financial
status and operating performance, securities business report, report of clients’ assets with the SEC Office using the forms annexed to this Notification within the schedules as follows: (1) the business
, commercial’s film shooting and other events must be stopped in strictly comply with government measures. At the same time, some clients have slowed down in using advertising budgets or changing advertising
ผู้ประกอบธุรกิจหรือบุคลากรของผู้ประกอบธุรกิจกับลูกค้า หรือระหว่างลูกค้าด้วยกันเอง (8) การคำนึงถึงผลประโยชน์ของลูกค้า (clients’ interests)
to clients from those responsible for making decisions on securities trading for the securities company . Clause 10 A securities company shall separate work units and personnel responsible for
clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 34 For providing service to a client, a derivatives broker shall proceed as follows: (1
Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013