have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory

which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent

แบ่งแยกหน้าที่บุคลากรที่ทำหน้าที่ดังต่อไปนี้ ก) proprietary port (ถ้ามี) กับการซื้อขายของลูกค้า ข) proprietary port (ถ้ามี) กับด้าน research (2) หลักปฏิบัติในการเข้าถึงข้อมูลดังต่อไปนี้ตามหลัก need-to

Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

and the person to be responsible for damage of clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the

the group of companies is part of a conglomerate or a business group of a major shareholder, and by nature of the core business, the Company may need to form a relationship, reliance6 or competition

companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other

company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a

. For such purposes, the rules governing the requirement of margins for derivatives trading in derivatives exchange have been prescribed. Furthermore, the Derivatives Act (No.2) B.E. 2551 (2008

persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons