procedure to ensure that customer is aware of the risks in derivatives trading, by having at least a document containing risk disclosure statement which have minimal particulars and materials in accordance
, at a minimum, a risk disclosure statement, which contains at least the particulars and material information in accordance with the guidelines for risk disclosure statement prescribed by the SEC Office
to ensure that the client is aware of the risk associated with derivatives trading by preparing, at a minimum, a risk disclosure statement, which contains at least the particulars and material
: [ ] Telephone: [ ] Website: [ ] Email: [ ] (UNOFFICIAL TRANSLATION) Factsheet Information as of [day/month/year] 5 Explanation of the particulars of the information to be disclosed in the factsheet of the general
following material particulars: (1) an alleged person’s name; (2) any act that would be considered as violation subject to the administrative sanction together with facts and circumstances pertinent to the
ให้สนิเช่ือ ท าธุรกรรมที่มีลกัษณะคล้ายการให้สินเช่ือ หรือประกนัหนีแ้ก่กรรมการ ผู้ มีอ านาจในการจัดการ หรือผู้ ที่ เ ก่ียวข้องของบริษัทในกลุ่มธุร กิจทางการเงินในระดับ Solo Consolidation (ธนาคารและบริษัทล
in the particulars or a material activity; (d) having withdrawn an application for an offer for sale of newly issued securities without clarifying a suspicious ground under (b) or (c) to the SEC Office
; (2) preparing a customer’s profile in writing containing the particulars prescribed by the Office and shall have the customer certify the correctness of such information; however, the profile shall be