range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient
the SEC Office within 5 business days as from the date when such circumstance becomes known or should have been known; (2) rectify, desist or mitigate such damage as deemed appropriate. Clause 18 The
shall also comply with the provisions under this chapter. In the circumstance as defined in Thai Financial Reporting Standards which causes not to consolidate financial information of subsidiary company
issuance of sukuk certificate and transfer: (a) the way to transfer of sukuk; (b) specimen of sukuk certificate attached to a trust instrument (if any); (6) specifying circumstance that causes termination of
condition of such relationship including the characteristics of business relationship. Clarifications on the said matters should include a comprehensive flowchart of the overall business structure of the
October 2006. (Unofficial Translation) Page 8 of 12 The agreement made between the securities company and a retail client under the first paragraph shall bear no term or condition in which the securities