broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to
efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented policy on the
and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented
contain the information as required in List (1) attached to the Notifications on Acquisition or Disposition of Assets, and then submit written notice to the shareholders within 21 days from the date of
information as required in List (1) attached to the Notifications on Acquisition or Disposition of Assets, and then submit written notice to the shareholders within 21 days from the date of disclosure of the
least contain the information as required in List ( 1) attached to the Notifications on Acquisition or Disposition of Assets, and then submit written notice to the shareholders within 21 days from the
case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant to sign
broker under Paragraph 1(2) ceases to operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain
operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain the net capital at the end of any