shall come into force as from 1 November 2018. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Jor. 58/2559 Re: Rules for Approval
shall first establish measures for risk management which cover at least the following: 7 (1) laws or regulations that allow for provision of tiered participation arrangements and protection of
accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with
; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and
system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information; (d) non-public information protection system between the agent and its
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a
securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3) 2 provide a written contract or