client’s derivatives trading is inappropriate or may contravene the law on derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
client’s derivatives trading is inappropriate or may contravene the law on derivatives3; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
displaying information in accordance with the following criteria: (1) using language that is easily understood; (2) not displaying language or information that is false, exaggerated, misleading or may cause
false statement, concealment of material facts that are needed to be disclosed, nor statement that may be materially misleading. 2. Financial projection for the current year -None- 2 3. Pending material
market: (a) engaging in any unfair trading of securities and derivatives; (b) undertaking dishonestly or causing damage to properties, creditors or the public; (c) intentionally making false statement or
, or giving false information to the counterparty . Clause 12/1 In the case where a securities company buys securities from an issuer to resell to a client , the securities company shall distribute
12 A securities company shall not mislead its counterparty regarding material facts of securities trading by refraining from disclosure of information, distortion of information, or giving false
ห้องค้า และไม่อำพรางเป็นผู้ลงทุนเพื่อยันยันรายการซื้อขาย โดยผู้ลงทุนรับทราบเป็นต้น (4.7) ต้องไม่เป็นผู้ส่งคำสั่งซื้อขายหลักทรัพย์ที่ไม่เหมาะสม (false market) (4.8) ต้องยับยั้ง ทักท้วง หรือแจ้ง ในการให้
management company’s responsibility, or intentionally making false statements in any material aspects or concealing material facts which should be declared in the application for an approval to act as a mutual
concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the management company’s responsibility, or intentionally making false statements