, equipments, assets and place of business of companies, financial status, customer’s trust and company’s reputation, as well as a compliance to governmental regulations. Also, it should consider to wide impacts

every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of

) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs

different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor

to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving

, risks and conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an

limitations, risks and conditions different from the provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make an

following information: (1) The required amount of the initial margin and maintenance margin. If the derivatives broker require different amount of initial margin and maintenance margin in respect of any

administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function

or payments in accordance with the regulations prescribed by the Bank of Thailand; (3) having sufficient networks and channels for providing services or communication which is able to reach a wide