parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
) complying with laws and notifications relating to establishment and management of infrastructure fund applicable to securities company, mutatis mutandis; (2) performing the duty in accordance with code of
governance policy and complying with such policy on a regular basis.Institutional investors may adopt the I Code on a voluntary basis, and may adjust the principles in line with the business nature of each
as a growth incentive. For example, investment of institutional investors in ESG complying companies, ESG education of capital market business personnel, investors and the public, and activities of
trading orders from the client. {A} admitted that she accepted trading orders via her mobile. The SEC found that {A} intended to avoid complying with conducts of securities company in relation to record
. not more than 1,400,000 shares at 10.00 Baht per share (par value) in total not more than 14,000,000.00 Baht (Fourteen million Baht), this transaction is considered as the asset conforming to the
conforming to Clause 6(3), mutatis mutandis; (4) assigning a brokerage firm acting as an local representative responsible for selling, repurchasing and redeeming units in Thailand; (5) having a local
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying