Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the
Dealing Which is Not Limited to Debt Instruments or Investment Units dated 3 August 2009, and Clause 6, Paragraph 1 of Clause 8 and Clause 33 of the Notification of the Capital Market Supervisory Board No
document for an account opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of the client before
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
Clause 4/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt
document and evidence, including considering of investment objective of the customer, knowledge, understanding and experience in derivatives trading, financial condition, and debt repayment capability of
Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, and Clause 25/1 of the Notification of the
Institutions Development Fund bond and bond or debt instrument issued by the Ministry of Finance; (d) other liquid assets prescribed by the Office. “customer” means a person agreeing to receive an advice from an
other laws: (a) securities financing business; (b) brokerage, dealing or underwriting of any securities, which is not limited to debt securities or the units ; (c) brokerage, dealing, or underwriting
invests in both shares and debt instrument issued by such listed company, additional procedures in the case where the vote is against the offer of the management of the listed company. (c) Rules of practice