. Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete, can be able to
broker shall arrange to have independent director of at least one out of four directors 7 In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is
broker shall arrange to have independent director of at least one out of four directors 7In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a
by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or
investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of
Statement for Thai-incorporated Company to offer for sale of securities in Thailand and ASEAN member country simultaneously or in proximate period (ชือ่บรษัิททีเ่สนอขายหลักทรัพย)์ (Commercial Name of the
particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel, who have duty to communicate with or provide services to the client , to display themselves, by ways
particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel, who have duty to communicate with or provide services to the client, to display themselves, by ways
timeframe on a temporary basis. The fact that any supervisor being dismissed as staff or employee of a financial advisor shall not form the grounds for the SEC Office to decline to display his name in nor