personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage

considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for

proposal to the Securities and Exchange Commission for permitting license within ninety days from the date on which the SEC Office has received complete application and documentation. In this regard, the

-delegation 4.2 Duties and responsibilities of the delegator and delegatee 4.3 Preservation of client’s confidentiality 4.4 Liability insurance 4.5 Delivery of information when requested by the management

intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a

company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall

fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a license within sixty days from the date on

prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a