such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with

): ______________________________________________________ 2) Home Economy: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal Character of ARFP Passport Fund

applicable):_______________________________________________________ 2) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is

making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a

funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which the securities

หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค

between or amongst funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which

issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of