|- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees |- Related Circular Letter Others (Securities Business) |- Separation of Securities and
SEC plans to revise rules on sale conducts for investment units after a survey of 55 branches of 18 commercial banks in Bangkok area indicated necessity for improvement particularly in relation to
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
twelve months prior to the date the branch office starts its operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance
or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do or refrain from doing any act for
to comply with this notification or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do