, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
institutional investor under the Notification of Securities and Exchange Commission concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ high net worth
pertaining to the bonds thereof, the intermediary shall disclose information to clients in accordance with the following criteria: (1) disclose information on risks and characteristics of the bonds by one or
in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice pertaining to the bonds thereof, the intermediary
intermediary shall determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such
securities trading to the subject securities companies within the fifteenth day of the following month, including other information pertaining to such securities trading account which is beneficial for
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
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
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel : (a) work related to management, establishment, control and