Clients of Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
restrictions or duties; (5) avoids any action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and
the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and
readiness in term of financial and management capability to undertake derivatives business as well as to improve the issuance of derivatives business license so as to cover a number of derivatives business
as well as to improve the issuance of derivatives business license so as to cover a number of derivatives business categories so that licensed operators are able to offer a fully integrated services in
action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and conditions as prescribed in Division 4
Section 8 shall be vacated upon: (1) death; (2) resignation; (3) reaching the age of seventy years; (4) having the prohibited characteristics as provided in Section 9; (5) termination by the Cabinet’s