technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior management as
subscription form under the first paragraph. Clause 10. A securities underwriter shall not disseminate information relating to securities offering which is not the registration statement or draft prospectus
substance information of the executive summary as provided in section 1 of the registration statement together with the subscription forms. Clause 10 A securities underwriter shall not disseminate information
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
to the client which shall operate at least during the office hours of the securities company . (2) publicize or disseminate the information on the implementation under (1) to the client ; (3) disclose
to record and disseminate information regarding price quotation and derivatives trading; (5) contingency plan to accommodate any emergency which may affect derivatives trading or settlement of
which shall be opened for service at least throughout the working hours of the intermediary . (2) promote or disseminate information on the arrangement under subclause (1) to clients; (3) visibly reveal
misleading and the Company may be liable to violation of Section 238 of the Securities and Exchange B.E. 2535 (1992). In any case, if the Company wishes to disclose or disseminate any information regarding the
the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3