and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented

certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any

of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 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 and Section 113 of the Sec...

adequate information in line with standards of services of the management company , and [ii] supervise the representative to act as follows: (1) comply with the provisions in the agreement and the rules

adequate information in line with standards of services of the management company , and [ii] supervise the representative to act as follows: (1) comply with the provisions in the agreement and the rules

concerning Approval of Auditors in Capital Market , only for providing service under Paragraph 1 of clause 8 (3) or (6) only functions relating to the accounts and finance of clients; (3) the Stock Exchange of

client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the

ผู้ช่วยเลขาธิการ (คุณรพีฯ) PAGE 2 แนวทางการกำกับดูแลการทำธุรกรรมด้านหลักทรัพย์ผ่านสื่อ on-line (ฉบับที่ 2) ด้วยปัจจุบันผู้ให้บริการด้านระบบคอมพิวเตอร์ (service providers)ได้เข้ามามีบทบาทสำคัญ ในการ