policy specifies investment in derivatives without the objective of hedging or investment in structured notes. In this regard, the fund facts of the prospectus shall contain the additional particulars and
. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives
Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives Act B.E. 2546
order that the derivatives dealers perform their duties with care, prudence and in the best interest of the client. Clause 8 The derivatives dealer shall not disclose false information or conceal facts
certifies that the translated content is accurate to that of the original information or document; (b) certify that the content of the translated information or document is based on facts or real occurrences
, 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 notification of the Office when
Approval on Offer for Sale of Structured Notes (No. 4) dated 28 March 2018 (effective on 1 April 2018). 7 approval for an offer for sale of structured notes, indicating that the facts and circumstances that
shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (Translation) -2- (a) the scope of effect