opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
) clients’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of
of the following relationships: (a) spousal relationship and parent-minor child relationship; (b) relationship between a juristic person and a shareholder or partner of such juristic person which holds
under the law governing trade associations having characteristics and objectives similar to those of an association related to securities business and wishing to become an association related to
Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act
characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising the trading of capital market products by the employees, both for the investment of the
codes of conduct and professional standards as specified by the associations and approved by the SEC Office or the agencies relating to capital market business which are recognized by the SEC Office; (5
as specified by the SEC Office, the associations , or the agencies relating to capital market business which are recognized by the SEC Office; Clause 24 In case personnel in the capital market business
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...