Independent Director of an Intermediary 03/06/2014 01/07/2014 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be
denied the authorization of the whole arrangement. {D} and {A} subsequently entered into an agreement with the client whereas the client agreed to formalize the past buying transaction by signing the
been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody
Exchange Commission No. KorThor.29/2545 Re: Custody of Client Assets of a Securities Company (No. 2), dated 28 March 2002. (Translation) -3- (3) provide a contract or an agreement on the custody of client’s
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has
(JAS), by give a consent Mr. Pete in using his securities trading account to purchase Jasmine Telecom Systems Public Company Limited (JTS) shares by utilizing the inside information about The Q3/2016
borrowing of securities for making a short sale. Such agreement shall include a statement that the client gives consent to the securities company to retain securities purchased in a margin account or cash