abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
บุคคล และจัดทำนโยบายความเป็นส่วนตัว (privacy policy) (2) จัดทำแบบฟอร์มการขอความยินยอม (consent form) (3) จัดให้มีมาตรการรักษาความมั่นคงปลอดภัยที่เหมาะสม เช่น การกำหนดสิทธิ์การเข้าถึงข้อมูล (access control
’ acknowledgment or consent. _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open
company for 14 months. Whereas Amornrat and Walailuk will be barred for 9 months each. The banning period shall begin from the date each offender signs the letter of consent to comply with civil
director or executive at any publicly traded company and any securities company for 12 months each. The banning period shall begin from the date each offender signs the letter of consent to comply with the
entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund
-8890 3) General Characteristics of the transaction The company has requested for the amount of Letter of Guarantee for government section from Bangkok Bank Public Company Limited in an amount of 80
10% of final bid price and submit a letter of bank guarantee for the remaining amount within 15 days before the starting date of license 2nd -10th installment 10% of final bid price on each installment
advertisement shall not imply or guarantee returns earned from investment in capital market products , unless the SEC Office has rendered a waiver or it is appropriate reference of the past performance or
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person