--------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional --------------------------------------- Clause 12. Derivatives broker shall arrange to have
notification of the SEC Office. Chapter 3 Operation --------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional
Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________ Clause 13 Repealed. Clause 13/1 The derivatives broker
accordance with the criteria prescribed and notified by the SEC Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________
small Enterprises can be relatively straightforward and does not need to be expensive. Micro and small Enterprises tend to be less complex, more flexible, have less degrees of separation between those
enhance risk management effectiveness. Board of Directors Risk Management and Control Units Enterprise Risk Management Division Customer and Enterprise Service Fulfillment Division KASIKORN BUSINESS
additional requirement for compliance by the applicant. Chapter 4 Conditions for approval _______________________ Division 1 General provisions _______________________ Clause 22 An approved person under
____________________ Division 1 Application for and Granting of Approval of Financial Advisor ____________________ Clause 46 Any person wishing to become a financial advisor may apply for an approval with the SEC Office
actions taken were as follows: Board of Directors Risk Management and Control Units Enterprise Risk Management Division Approve risk appetite and all risk management policies and guidelines Oversee