financial institution which has a relationship as parent company , subsidiary company or associate company , unless explicitly given consent by the client. The definition of “ parent company ”, “ subsidiary

custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

explicitly and sufficiently a direction for considering an action in previous cases with similar facts to the case under consideration. Chapter 8 Transitional Provisions Clause 40 In this Chapter: “ repealed

organizations; or (2) the committee has already prescribed explicitly and sufficiently a direction for considering an action in previous cases with similar facts to the case under consideration. Chapter 8

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...