business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
hereunder as evidence. Signature: ...................................................... Signature: .................................................. (…………………………………………….) (…..…………………………………….) Authorized
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
: .................................................. (…………………………………………….) (…..…………………………………….) Authorized person Authorized person Date: ......................................... Date: ....................................... Signature: ...................................................... Signature
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management
information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management company to provide advice or