of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
outsourcing. Division 1 Outsourcing central utility function _______________________ Clause 12 In case of outsourcing central utility function , an intermediary shall assign only a person approved by the SEC
laid out by the Stock Exchange of Thailand or other international standards such as Global Reporting Initiative (GRI). Disclosure format : The Company may choose to disclose or report material
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
business is financial business, which is under supervision of any one of the following entities: (a) the SEC Office or the Bank of Thailand; (b) a regulatory agency which is a member of the International
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information