shall perform only the following duties: (1) acceptance of request from customer to open an account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase

No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

network connection security, for example, limiting access to certain application services if connecting to external networks, etc.; (4) encrypt critical data stored on mobile devices and transmitted via

, operational detail record and in case of dial out, it shall cancel the computer connecting from the internal network system etc., including cancellation of connectionon when out of work. [M] · Determining

irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of

of clients. Chapter 7 Acceptance of Trading Orders of Capital Market Products Outside Intermediary’s Office ____________________ Clause 36 In this Chapter: “ stock exchange ” means the Stock Exchange

audit engagement acceptance, the engagement performance in compliance with the standards on auditing and the Code of Ethics for Professional Accountants, as well as the relevant laws and regulations and