intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the
shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information
important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering
และรับซื้อคืนหน่วยลงทุนกับผู้ลงทุนรายใหญ่ และจัดให้มีตลาดรอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ ทั้งนี้ ตามประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์ และตลาดหลักทรัพย์ว่าด้วยการ
caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the
demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties
as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as
รอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ โดยบริษัทได้จัดให้มี ผู้ลงทุนรายใหญ่อย่างน้อยหนึ่งรายที่พร้อมจะซื้อและขายคืนหน่วยลงทุนเพื่อให้ราคาซื้อขายหน่วยลงทุน ในตลาดรองสะท้อนมูลค่า