on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of
Exchange” means the Stock Exchange of Thailand; “securities trading center” means the securities trading center under the law on securities and exchange; “Office” means the Office of the Securities and
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
Commission Remarks : The reason for issuing this Notification: the fact that a derivatives broker acting as market maker of gold derivatives in derivatives trading center licensed by the Securities and
the over-the-counter center is incorrect. If the cause of error resulting in the incorrect unit value under paragraph one hereof consequently affects the following calculation of the unit value, e.g
and means as determined by the intermediary , that they are assigned by the intermediary to provide services relating to capital market products . Division 1 Compilation and Assessment of Client
external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of