has consented; (3) Clearly determining the customer’s rights particularly the right to receive information with respect to derivatives fund management; (4) Having necessary information and warnings

continuing a relationship, which should be discontinued. 7 Does the firm have any particularly risky clients or risky industry (e.g. Finance and Securities, Banking, Insurance, Energy & Utilities, Mining

Audit Firm is requested to disclose to the names of its audit engagement clients in the last accounting period, particularly: A. The businesses fall under Clause 3 of the Notification of the Office of the

shall apply particularly for mutual fund management company and private fund management company which is a limited company or a public limited company under the provision in clause 2(6) of Ministerial

readiness of personnel, and already prepared at least the following operating systems: (1) a security system to protect clients’ information, particularly their trading information, which restricts access to

) separating area for communication with or providing services to a client from other business area particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel

intermediary demonstrates that it has readiness of personnel, and has already prepared at least the following operating systems: (1) a security system to protect clients’ information, particularly trading

particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel, who have duty to communicate with or provide services to the client , to display themselves, by ways

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...