(1) ฐำนะ กำรเงินมัน่คง (2) ระบบแยกทรัพยสิ์นลูกคำ้ (segregation) (3) สำมำรถปฏิบติัใหเ้ป็นไป ตำมกฎหมำยหรือกฎเกณฑห์ลกัท่ีเก่ียวขอ้ง เห็นดว้ย ส ำนกังำนไดรั้บขอ้เสนอแนะเพิ่มเติมจำกตวัแทนผูใ้หบ้ริกำร ดำ้นหล
ความน่าเช่ือถือ ซ่ึงอาจจะพิจารณาจากฐานะการเงินและระบบงานท่ีแยกทรัพยสิ์นลูกคา้อยา่งชดัเจน (segregation) เช่น ธนาคารพาณิชยท่ี์มีระบบการจดัเก็บและแยกทรัพยสิ์นของลูกคา้และสามารถดูแล ทรัพยสิ์นของลูกคา้ไดอ้
Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
Division)
date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as
notification of the SEC Office. Chapter 3 Operation --------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional
tasks including undertaking of any other actions assigned by the administrative panel or the SEC, as the case may be. Division 1 Administrative Proceedings Clause 8. Administrative proceedings shall
other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General
an approval [for establishment] from the Securities and Exchange Commission. 2 The law on financial institution business means the Financial Institution Business Act B.E. 2531 (2007). 4 Division 1