circumstance as provided in the first paragraph, the SEC may modify or change the conditions already specified. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a

for undertaking trust business. In cases where there has been a change in the necessary circumstance as provided in the first paragraph, the SEC may modify or change the conditions already specified

Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013

Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom. "securities dealing" means a purchase, sale or

. "securities brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration

Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client

impede staff operation. All departments were required to set up their separate contingency plan to alleviate the impacts of such emergencies and ensure normal and continual operation of businesses in the

executive director, employee, staff, advisor earning regular monthly salary or the controlling person of the applicant, its parent company, subsidiary, associate company, same-level subsidiary, major

security. MM is responsible for maintaining quotes and facilitating buy and sell transactions. Normal Trading (traditional & internet trading) Designated Market Making** Our focus Algorithmic Trading* HFT