points of the amendments are summarized accordingly: (1) Market Misconduct: categorizing the characteristics of misconduct to be clearer and applicable to wrongful acts of different natures, into four
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
appears in a draft agreement appointing a debenture holder representative disclosed in the filing, effective on February 15, 2022 ("draft agreement"), differs from the condition in an agreement
registration statement and draft prospectus ("filing"). In this regard, one of the conditions for termination of the debenture holder representative's duties which appears in a draft agreement
agreement appointing a debenture holder representative disclosed in the filing, effective on February 15, 2022 ("draft agreement"), differs from the condition in an agreement appointing a debenture
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the