client’s derivatives trading is inappropriate or may contravene the Law on Derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
clarification under subclause (1), or provides false or materially misleading information. Clause 14 In case of providing services to a non-institutional investor, before opening a derivatives trading account or
fund committee for clarification (b) In cases where the payment is found to be incorrect, the correction should be carried out according to the rules notified by the Office or any agreement between the
found to be incorrect, the correction should be carried out according to the rules notified by the Office or any agreement between the fund committee and the management company and record such error as
ผูล้งทุนเพื่อยนัยนัรายการซ้ือขาย โดยผูล้งทุนรับทราบ เป็นตน้ (4.7) ตอ้งไม่เป็นผูส่้งค าสั่งซ้ือขายหลกัทรัพยท่ี์ไม่เหมาะสม (false market) (4.8) ตอ้งยบัย ั้ง ทกัทว้ง หรือแจง้ ในการใหบ้ริการซ้ือขายหลกัทรัพยห์
false statements of material facts or conceal material facts which should have been stated in any document which is to be disclosed to the public or to be submitted to the Office, the SEC or the
intentionally makes or has intentionally make false statements of material facts or conceal material facts which should have been stated in any document which is to be disclosed to the public or to be submitted
considered on a reasonable ground, indicates disclosure or dissemination of false or misleading information or documents, or concealment of any material facts which should have been expressly disclosed to