the securities company under the method specified in Clause 18 (1) (a) or (2) (a) shall not be considered as the appointment of an agent for the custody of client’s assets. Clause 9. A securities
company under the method specified in Clause 18 (1) (a) or (2) (a) shall not be considered as the appointment of an agent for the custody of client’s assets. Clause 9. A securities company shall not engage
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
without delay in case appeared that have significant case effect to the security of the information technology 1 [M] o proving a method or compliance guideline support to compliance with the prescribed
as the operation of the work units relating to undertaking the derivatives brokerage business in a manner whereby it can be demonstrated that a system to prevent conflicts of interests, a system to
operation of the work units relating to undertaking the derivatives brokerage business in a manner 2 As repealed and replaced by the Notification of the Capital Market Supervisory Board No. Tor Thor. 2/2553
customer. (Translation) Page 2 of 3 Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers
customer. Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers within the next business day
dividend payment (if any); (6) method of payment of money or other assets; (7) issuance and delivery of the entitlement documentation of investment units; (8) preparation of the register of investment units