; (c) establish password management systems to ensure security of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Additional Guidelines 1

derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have

of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Chapter 4 Information Communications Security via Computer Network Systems and

10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator

starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by

operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange

institution having relationship as its parent company, subsidiary company, or associate company, the derivatives broker shall receive consent given in writing from the client prior to the foregoing process. The

associate company as an agent, the securities company shall inform its clients of such relationship as well. The definitions of the terms “ parent company ,” “ subsidiary company ” and “ associate company

รู้เกี่ยวกับ สัญญาซื้อขายล่วงหน้า ( 4 ผู้ที่ทดสอบผ่านหลักสูตร Certified Financial Planner (CFP) หลักสูตรใหม่5 ( ( ( ( 5 ผู้ที่ทดสอบผ่านหลักสูตร Associate Financial Planner Thailand (AFPT)6 ( ( ( ( 6 ผู้

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...