Office of the Securities and Exchange Commission. CHAPTER I General Provisions Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
and Exchange Commission. CHAPTER I General Provisions (Translation) -2- Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in
. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note : The rationale for issuing this Notification (1) to revise the qualifications of the
Notification. Notified this 14th Day of October 2009. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note: The rationale for issuing this
Notification. Notified this 14 th Day of October 2009. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note: The rationale for issuing this
Notification come into force. Notified this 14 th Day of October 2009. (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission
the value or suitability of any trading or investment in derivatives; (6) Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside