repayment ability and the trading limit of each client on a regular basis. Clause 28 The derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and

into consideration environmental and social issues as well as respect for human rights and good corporate governance. In this regard, clarify only the overall policy and guidelines related to

Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the

data and information system in accordance with Chapter 3; (4) information communications security via computer network systems and operations security with respect to information systems in accordance

credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the

information between work units and personnel of the securities company . In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work

. In this regard, the securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or

to comply therewith in all respects. In this regard, I would be pleased to provide additional information upon the SEC Office’s request for the benefit of the application consideration and the

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office