intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
Thai Bond Market Association. Clause 8 In selling structured notes to public in accordance with Part 2, the Company that has obtained the approval shall have the duty to also comply with the Notification
implement measures to ensure that members’ financial position and risk management systems comply with the derivatives clearing house’s rules and regulations. Clause 14 In case of delivery of the underlying
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the disciplines in accordance with such
(effective as from 16 November 2016). 3 Clause 4 The rules in detail according to this Notification have been prescribed in order for intermediaries to comply with the Notification on the Standard Conduct of
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the professional ethics or standards as stipulated by an association under the