persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and

held shares of the management company exceeding five percent of the total outstanding shares of the management company (2) Such person has held shares of the person under (1) exceeding thirty percent of

) Financial Institutions established under specific law which is a financial institution under the law on loan interest rate of financial institution. Clause 16/1. A securities company shall get to know its

customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give

Conflicts of Interest in Which an Intermediary Is Allowed to Get Involved _____________________________ Clause 22 In case an intermediary has a reasonable ground to enter into a transaction being conflicts of

or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated