) 8.1 Companies should arrange a training and communication on the BCP to relevant persons, either inside or outside, regularly, as well as shall test the BCP to be in line with an actual situation

brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction

brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the

market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries

เอกสารรับฟังความคิดเห็น เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขประกาศเพื่อให้บริษัทหลักทรัพย์ต้องทำ suitability test สำหรับการจัดจำหน่ายหลักทรัพย์ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์

related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

systems and application software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the

of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours

other party who is obliged to make payment for such goods at a given time in the future according to the amount and price as specified in the contract which is entered into outside the derivatives

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of