and circular letters issued under or prescribing guidelines or being remain in full force by virtue of the Notification of the Capital Market Supervisory Board No. TorKhor. 56/2552 Re: Rules, Conditions
a person responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets . Clause 6 A securities company shall establish rules or practice guidelines
responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets. 3 Clause 6 A securities company shall establish rules or practice guidelines for custody of
Supervisory Board No. Tor Thor. 31/2559 Re: Rules for Operation of Derivatives Clearing Houses By virtue of Section 76, Paragraph 3 of Section 82 and Paragraph 2 of Section 83, in conjunction with Section 34(2
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
investment scheme”2 means the unit of a foreign collective investment scheme, which may be offered for sale in Thailand under the Notification of the Capital Market Supervisory Board concerning Rules on
account opening process. In this regard, the procedure should be in accordance with the guidelines of the Office Re: Rules, Conditions and Procedures for Risk Management System to Prevent Money Laundering
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with