Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company

same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk

business days from the day it becomes or oughts to become aware of the failure to maintain the capital; (2) submit the corrective plan or guideline to the SEC Office within ten days from the day it is or

regulations: Clause 1 This Notification shall come into force as from 1 January 2015, except the following Clauses: (1) Clause 12(4), which is related to arrangement of agreement between clients and derivatives

: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors

into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for

not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the