claim under the contract from the service provider; (3) examining the accuracy of the contract in accordance with (2) and keep a copy of the complete and undated contract in such a way that is ready for
channel to communicate with the customers promptly as well as to increase pleasant level and top impression for keep maintain the existing customer base together with the increase of new customers. ▪ Risks
; (5) keep evidence of the performance as specified in subclauses (1), (2), (3) and (4) in the manner of prompt demonstration to the SEC Office as requested. Chapter 7 Acceptance of Trading Orders of
). Clause 20 An intermediary shall prepare the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request. (1) the persons
according to portfolio advisory or investment strategy of program trading shall comply with Division 2. Clause 41/2 An intermediary shall keep information and evidence on providing services under this Chapter
trading order of capital market products according to portfolio advisory or investment strategy of program trading shall comply with Division 2. Clause 41/2 An intermediary shall keep information and