its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your
a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party
reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and
_____________________ Clause 22 In providing investment analysis or consultation to clients under Clause 38 of the Notification on Standard Conduct of Business , an intermediary ’s personnel who perform such functions
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and
limiting derivatives broker ’s responsibility on assets of clients , and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker ’s duty, there shall be a
an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no