securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and provisions of the Notification No
the borrower or other persons to return the securities previously borrowed; (3) to enable the borrower or other persons to fulfill any obligation in accordance with the category or characteristic as
obligation in accordance with the category or characteristic as notified by the Office.2 1 As amended by the Notification of the Securities and Exchange Commission No. KorThor 59/2543 Re: Rules, Conditions and
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
for the operation under a regulatory sandbox in the same manner as a derivatives exchange shall arrange an efficient and fair trading system which shall additionally cover at least the following matters