nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
documents in full according to the procedures specified in the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the
the times that accept the user for entering incorrect password. For the general practice, it is not exceed three times. · providing a method for deliver the password to the user strictly and safety such
asset such as customer’s information or information of investment units incorrect because of computer system assessment or modification by the unauthorised person”etc. (Translation) -4- Segregation of
attention to suspect that the aforesaid information is incorrect, incomplete, false, misleading or lacking any material information that should have been disclosed. As the evidence that all of the documents
นาจะเพียงพอแลว คาชดเชยทีเ่กิดจากการลงทุนผิดพลาดเห็นควรให เปนไปตามแนวทางของ Incorrect Pricing ซึ่งมีประกาศ รองรับอยูแลว จํานวน 30,000 บาท ตามที่สํานักงานกําหนด เปนตวัเลขสถิติสูงสุดที่รวบรวมจาก
exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of giving
securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of