Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.

has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention

business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these

Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

supervisory standards on collective investment schemes with characteristics similar to mutual funds (Principles 24-27); however, in case of outsourcing the function which is investment management or derivatives

funds or the transferred mutual funds which are dissolved due to the merger or the amalgamation shall be in accordance with the Notification No. TorNor. 75/2552, mutatis mutandis . However, the provision

case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice

than two months from the day following the date of recording; however, in the case there is a complaint of the customer relating to such tape recording during such period, it shall be kept until the end

Derivatives Act B.E. 2546 (2003) and the Notifications issued thereunder. Form as of 25 July 2006 O the company found that the following persons have certain prohibited characteristics, however, the company

derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However, should there be any