person who has power to instruct the order for securities possesses an account with the securities company; (2) delivering a copy of monthly securities trading report which display transaction of
the Securities and Exchange Commission No. KorThor 59/2543 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending (No. 3) dated 23 November 2000. As added by the Notification of the
, Special section, Vol. 121Ngor, dated 29 October 2004. As added by the Notification of the Securities and Exchange Commission No. KorThor. 47/2547 Re: Registration of Derivatives Business Operator in the
examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements
account. Clause 29 In providing derivatives brokerage services, the derivatives broker shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive
Exchange Commission. Clause 2. The following provision shall be added as the second paragraph of Clause 44 of the Notification of the Office of the Securities and Exchange Commission, No. SorNor. 28/2549 Re
Issue, Volume 121, Special Section 26Ngor. This is added by the Notification No. OrNor. 4/2547 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor (No.2) dated 09/03/2004. This is added
. The Notification of the Office of Securities and Exchange Commission No. SorThor. 8/2549 Re: Report Forms of Securities Companies (No. 2) dated 31 March 2006. As added by the Notification of the Office
Capital Market Supervisory Board by virtue of Section 6 of the Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. The following provision shall be added as Clause 2/1
particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel, who have duty to communicate with or provide services to the client , to display themselves, by ways