indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of

chief executive of the intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for

. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that

company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles

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...

director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for

Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they

Securities Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are

Company and their experience in reviewing financial statements. 11.3 Selection and appointment of directors and chief executives (1) Independent director - Specify the selection criteria, i.e