intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
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
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
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
client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of