regard, the detailed feature of the certificate thereof shall be described in the report. Clause 6 In case of necessity where an offeror would not be able to submit the report as prescribed in this

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

before making a decision to use the services and [ii] possible risks arising from using the services: (1) general information of the intermediary ; (2) characteristic, scope and condition of a service

the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity

. Stocks right and warrants means value of right issued by the company to the holder in order to purchase an ordinary share or preferred share, including shares issued for increasing paid-up capital warrant

) general information of the intermediary ; (2) characteristic, scope and condition of a service proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4

understand the feature, risks and specific conditions of such capital market products every time before making a decision to invest. After having performed in compliance with the first paragraph, the

ที่มีความมั่นคงปลอดภัย [ ข้อ 5.4 แนวปฏิบัติ 3 ทั้งหมด ] คณะทำงานกลุ่มย่อย AIMC ขอเป็น reasonable effort เนื่องจากระบบเก่า หรือระบบใหม่บางระบบ อาจไม่มี feature รองรับหลักเกณฑ์บางประการ สำนักงานได้ปรับ

measures for balancing the power between the Board of Directors and the Management in (1) increasing the proportion of independent directors to more than half, or (2) appointing an independent director to