Thailand bonds and bonds whose principal and interest are guaranteed by the Ministry of Finance, no matter the services had provided in the area of Bangkok and surrounding or not and for other debt
categories so that licensed operators are able to offer a fully integrated services in respect of derivatives business similar to the case of issuance of license for securities business which is closely
persons to act or perform duties on his behalf. Clause 14. In order that investors shall receive good, efficient and fair services, the investor contact shall perform duties in accordance with the following
not delegate other persons to act or perform duties on his behalf. Clause 14. In order that investors shall receive good, efficient and fair services, the investor contact shall perform duties in
providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such units. At least, no
personnel responsible for providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such