for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct
the benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be
determine methods and procedures for securities trading for clients on a time priority basis and give priority to the benefit of clients over the benefit of itself. In particular, it shall trade securities
guideline for the benefit of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the
inappropriateness with conditions of such intermediary ’s business; (c) is not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the
arbitral proceeding other than those prescribed herein shall be in compliance with the provisions of the Arbitration Act. Clause 5. In the arbitral process, the Office shall assign its staff to perform
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the