staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
at least two years from the date on which such giving of advice is made in Thailand. Chapter 2 Operation ____________ Division 1 Contacting, Soliciting, or Giving Advice to Clients and Performance of
Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
notification of the SEC Office. Chapter 3 Operation --------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional
accordance with the criteria prescribed and notified by the SEC Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the