. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services

รับการประเมินความพร้อมภายใต้โครงการประเมิน การปฏิบัติตามมาตรฐานสากล (Report on the Observance of Standards and Codes : ROSCs) โดยผู้เชี่ยวชาญจาก World Bank (WB) และ International Monetary Fund (IMF) ใน

, regulations, codes of conduct, and relevant law. In case such investor contact also obtained approval to be derivatives investor contact, the syllabus of the training, activities, or additional courses must

codes of conduct and professional standards as specified by the associations and approved by the SEC Office or the agencies relating to capital market business which are recognized by the SEC Office; (5

(2003) and the Notification issued by virtue of such laws in the part relating to the performance of their duties; (4) performing duties in accordance with the codes of conduct and professional standards