as prescribed by relevant Notifications of Capital Market Supervisory Board. Clause 14 For the arranging and keeping information, document or evidentiary documentation, an intermediary shall operate
) keeping such stored information according to the specific periods as prescribed by other particular notifications (if any). Chapter 4 Prevention and Management of Conflicts of Interest
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to comply with the law, related Notifications and
September 2013, the SEC Office hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 October 2015. Clause 2 The following Notifications shall be repealed: (1
___________________________________ By virtue of Section 81 of the Securities and Exchange Act B.E. 2535 (1992) , the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1) the
stipulate a position limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of