limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque
in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of
advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the
under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the
market products without awareness of necessarily fundamental information for investment; (2) shall not make such promotion to be a lucky draw or a manner of drawing lots for finding the client who gets a
conduct shall be disclosed in attachment for investors to understand and use them as guidelines for monitoring future business direction. 6.3 Material changes and developments regarding policy, guidelines
value of capital market product by [i] considering factors which impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction
impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction of an entity issuing capital market product and various business
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification