Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation

Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a

services within the scope of each type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such

type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such product in support of their

, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of

? If yes, describe 18 Does the firm have staff consultation unit or counselor/counselee system? D Performance Evaluation 1 Does the firm have documented and organized appraisal policy and process? If yes

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in

waived from the Office as provided in Section 98(7)(b). Clause 11. Management company shall provide and deliver information of investment or holding of the assets as asset of the management company to the

Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with