product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is on the list of
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the Notification concerning Maintenance of Capital within
order to alleviate such impact on our customers, the Company offered credit assistance measures to those customers affected by COVID-19, in line with the Bank of Thailand’s measures to ease debtors
procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an
rules: (1) having a procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to
accurate and not misleading. Clause 19. To protect the interest of investors with regards to the information presented to them, the Office may order the securities company under Clause 18 to obtain prior
information presented to them, the Office may order the securities company under Clause 18 to obtain prior approval for each advertisement. Notified this 6th day of February 2008. (Mr. Thirachai
consideration, or does not order to the derivatives broker, it shall be deemed that the Office grants an approval as per the derivatives broker’s request. Clause 7. The online branch office shall perform only the