Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
ผลที่เกิดขึ้นจากความเสียหาย ดังต่อไปนี้ 1) direct loss – ความเสียหายซึ่งเป็นผลมาจากเหตุการณ์ความเสียหายโดยตรง 2) indirect loss – ค่าใช้จ่ายที่เกิดขึ้นตามมาหลังจากเหตุการณ์ความเสียหาย เช่น ค่าใช้จ่ายใน
of the mutual fund or units of collective investment scheme with either direct or indirect investment in shares, upon disclosure of the value of such investment units or units, the value of such assets
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or
, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect
analyze securities investment; “investment advice” means any direct or indirect advice made related to the value of securities or appropriate of investment in such securities or any other securities
firm, principals, staff or any immediate family members; · have any direct financial interests in audit clients or its affiliates? · Any indirect interests including being beneficiaries of a trust