Capital Market Supervisory Board No. Tor Thor. 9/2561 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (No. 3) dated 17 January 2018
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange
Issuance and Offering for Sale of Securities , mutatis mutandis. The segregation of clients’ assets by the securities company in accordance with the methods specified under Clause 18(1) (a) or (2) (a) shall
Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and
reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to restriction of rights and liberties of persons which Section 29 in conjunction with Section 33
assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives