complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559 . In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that
intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter; (3) investor or client who uses services related to
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
group of companies; - Shareholding diagram of the group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a
necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of
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
governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (1) policy on the governance of
, or have been stipulated such requirement but it is necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such
registrar and the competent official, issue ministerial regulations, and prescribe other tasks to implement this Act. Ministerial regulations shall be enforceable upon their publication in the Government
) 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