SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

names appeared on the IFEC certificate, namely, (1) Mr. Suphanan Rittiphairoj (2) Mr. Chatnarong Chattrabhuti and (3) Maj. Gen. Boonlert Jangnopparat, must attend the board meeting on the specified

must be reported and the procedure for obtaining facts relating to such circumstances shall be in accordance with the Notification of the Capital Market Supervisory Board

must be reported and the procedures for obtaining facts relating to such circumstances shall be in accordance with the Notification of the Capital Market Supervisory Board

suggestions on the matter are welcome until December 20, 2012Advertisement content and format must contain essential, complete and correct information without suitable guidance or any guarantees of return on

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must    emphasize on the information necessary for investor?s

access to the information regarding changes of the outsourced companies which might affect the business, or the provisions stipulating that the business providers must have necessary resources and

enter into derivatives contract with non-institutional counterparty, providing that the derivatives must be plain vanilla in nature and the purpose must be for hedging risk associated with business