13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
before its own interest where such trading or investment may constitute a conflict of interest with its client. Chapter 5 Communication with and Providing Services to a Client _____________________________
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the
an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4
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
information via the public network, it shall receive an international standard encryption such as SSL,VPN etc. [M] · Providing a measure on controlling the correct of information that storage, input, operate
for securities trading. Chapter 3 Communicating, Soliciting, and Giving Advice to Clients ___________________________ Clause 17 Paragraph 1 shall be repealed. In case of providing services to a client
services for customers, the securities company shall open Monday to Friday from 8.30 A.M. till 5.00 P.M. and close on weekend and traditional holidays as notified by the Office on a yearly basis; (2) in case
acknowledge the occurrence of emergency incidents, the impacts happened, the communication channels for customers of relevant persons to contact for using services or to communicate with companies throughout a