business day of the day when the intermediary has executed such trading for clients. Chapter 63 Communication and Providing Services relating to High-Risk or Complex Capital Market Products
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
making decisions on securities trading for the securities company [proprietary trading]. Clause 7 A securities company shall separate the work units and personnel responsible for securities trading [front
before its own interest where such trading or investment may constitute a conflict of interest with its client. Chapter 5 Communication with and Providing Services to a Client _____________________________
communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the
relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of
operate for a period in order to assure that a functionality having an efficiency, the assessment system is correct and complete and satisfies the need of user. [A] 2.7 Communication of alteration
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the