systems and user identification of internet trade clients. It should also be required to monitor and analyze such recorded evidence. Provisions in the Notification No. Sor Thor. 37/2559 Clause 23 An
Clause 38 In case an intermediary wishes to analyze and provide consultation relating to the investment to its client , the intermediary shall comply with the following rules: (1) [i] arrange a person who
of the Board of Directors so that investors will be able to analyze the composition, roles and responsibilities and appropriateness of the Board of Directors in consistent with the business demands in
providing services to a client immediately. Division 2 Investment Analysis and Providing Consultation to a Client _____________________________ Clause 38 In case an intermediary wishes to analyze and provide
analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker
structure: (i) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership, control or management, common quality control policies and procedures, common
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
company undertaking securities business. Investor contact are divided into two categories: Category A investor contact who can analyze securities investment and Category B investor contact who cannot
investors, and are divided into two categories: Category A Investor Contact and Category B Investor Contact; (3) “Category A Investor Contact” means any investor contact who is also authorized to analyze
Investor Contact” means any investor contact who is also authorized to analyze securities investments; “Category B Investor Contact” means any investor contact who is not authorized to analyze securities