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instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
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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
consultant providing consultation only on capital market product not having complex characteristics ; (2) complex instrument investment consultant means an investment consultant providing consultation on
characteristics; (2) complex instrument investment consultant means an investment consultant providing consultation on capital market product not having complex characteristics as well as the product having high
therefore requested the public prosecutor in writing to file a lawsuit against Mr. Thanawat in the Civil Court, pressing for civil sanctions with the highest legal penalty consisting of a civil fine and the
company of the SEC Board’s order in writing. ______________________
the client . Division 2 Measures for preventing and managing conflicts of interest _____________________________ Clause 17 An intermediary shall determine the policy, in writing, pertaining to