Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
UNOFFICIAL TRANSLATION Codified up to No. 2 As of 5 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4
UNOFFICIAL TRANSLATION Codified up to No. 2 As of 5 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any
Microsoft Word - torthor 2-51_en_final 2 (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement
derivatives only with institutional investor counter party. Clause 4. 3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
derivatives only with institutional investor counter party. Clause 4.3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to