study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions related to
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
New Products - Equity Market สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:26 New Products - Equity Market Equity ( 74 record(s) found) Issuer Name/Offer Name
, documents and evidence of investor contact such as record of giving advice, receiving of derivatives trading order and the details related to derivatives trading transaction, and documents and evidence
update, documents and evidence of investor contact such as record of giving advice, receiving of derivatives trading order and the details related to derivatives trading transaction, and documents and
broker. Clause 10. Derivatives broker shall require service provider to keep, complete and update, documents and evidence of investor contact such as record of giving advice, receiving of derivatives
instruments within an appropriate time. A securities company shall not declare its intention to use a client’s rights and benefits without the client’s order or consent given in writing. Chapter 2 Record