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
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows
products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause 57; (c) additional systems as stipulated by other notifications. In
conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling