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
application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during
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 _____________________________
services to clients, an intermediary shall have a system to support such said activities and ensure that the communication channel, disclosure, supervision and the personnel assigned by the intermediary are
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
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification
in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
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