. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for

of derivatives trading of each customer in writing, whether in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the

of the maintenance margin. Clause 6. Derivatives broker shall prepare the confirmation statement, the evidence of margin call and the account of derivatives trading of each customer in writing, whether

to the securities company. In this regard, the CIS operator shall certify in writing that such information is the same as the one delivered to investors or submitted to home regulator, as the case may

Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560**, as the case may be. In the event that any offender refuses to give consent to the sanctions, the SEC will submit the case in writing

dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business

dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business transactions. Clause 9 A securities company

for the fund with a connected person only upon the approval of the mutual fund supervisor or the consent of the client or the provident fund committee, whichever the case may be, in writing before

consent of the client or the provident fund committee, whichever the case may be, in writing before entering into every such transaction, except in the following cases whereby the management company may

characteristics shall be in effect from the date where there appears the fact according to Clause 5 and the SEC Office has notified, in writing, the person under consideration and the securities company or the