to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of

such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in

person who has power to instruct the order for securities possesses an account with the securities company; (2) delivering a copy of monthly securities trading report which display transaction of

prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and

, it shall be deemed that derivatives trading by a derivatives broker on behalf of clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 3 For

should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to

Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material

the SEC Office, the SEC Office shall have the power to grant the securities company a temporary or permanent exemption from appointment of independent directors as prescribed in Paragraph 1. In such

notified by the Office, irrespective of whether they are borrowed under one transaction or consecutive transactions from one lender or more. Clause 6. In carrying out the borrowing and lending of securities

management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or