and Exchange Act (No. 4) B.E. 2008 stipulates that the prescription of the rules and determination of periods for submission of reports or demonstration of document of securities companies shall be the

SEC Office has conducted a review and acknowledged that such derivatives broker has a qualified personnel sufficiently to provide derivatives services relating to such precious metal derivatives. A

precious metal derivatives besides gold derivatives only when the SEC Office has conducted a review and acknowledged that such derivatives broker has qualified personnel sufficiently to provide derivatives

complaint unit; (10) demonstration of the following statements in a rectangle with the letters of not smaller in size than the size of letters of general content: “Securities investment may encounter both

) Letter from the commercial bank, securities business operator or derivatives business operator which has acknowledged the rules on internal control and prevention of conflicts of interest and duty in

; (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

business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form

company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give

; (2) entering into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3

has acknowledged and accepted such investment risk; (2) monitor and revise the client’s information. In the case where the assessment result of the client’s risk profile has changed, the intermediary