individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the customer should consider the suitability with the purpose of
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
of the debt securities. 2. Indicate whether the debt securities are registered or bearer securities, the total nominal amount of the debt securities as well as the individual face value of each type of
amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the Derivatives Act B.E. 2546 (2003
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA Code should receive the full support of CRA management and be backed by thorough compliance
the rules under Clause 7 or Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information
’ Life Platform of Choice”, we have upgraded our capability in data compilation and analytics, allowing us to understand and anticipate each individual customer’s needs under the “Segment of One” while