) separating area for communication with or providing services to a client from other business area particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel

guidelines in accordance with the laws, rules and regulations in the environmental area related to business operation of the Company and subsidiaries, by reflecting how the Company is committed to mitigating

products , the intermediary shall control the services in compliance with the following rules: (1) separating area for communication with or providing services to a client from other business area

No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

companies to apply to such operating control: Clause 1 In this Notification: “ securities company ” means a company licensed to undertake securities business in the category of securities brokerage or

to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities

customers outside its office premises and prescribed business hours, the Office hereby notifies as follows: Clause 1. The Notification of the Securities and Exchange Commission No. OrNor. 26/2544 Re

of the Office 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

) 30 ผู้ประกอบธุรกิจต้องแยกพื้นที่จุดรับส่งของ (delivery and loading area) และพื้นที่ส่วนที่ต้องมีการเข้าถึงโดยพนักงาน ฝ่ายอื่น เช่น ส่วนที่ใช้เก็บรายงานที่ฝ่ายคอมพิวเตอร์ได้จัดพิมพ์ให้หน่วยงานต่าง ๆ และ