delivering an excellent customer experience in order to empower every customer’s life and business, we prioritize the offering of attentive and inclusive services as a trustworthy service provider. We can
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act
(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee
) specification of margin corresponding to the risks and characteristics of securities, and the price used for calculation shall be from reliable sources; (5) determination of margin requirement of high liquidity
price from reliable source of information in the calculation; (7) requirement for members to place margin by the secured assets with high liquidity and low price volatility which may be in the form of
, determination of investment policy, regular company performance monitoring, discussion with company management, exercise of voting right at shareholders? meeting and giving emphasis to reasons or necessity of
convergence with international standards of securities offering with an emphasis on (1) adequate and reliable disclosure of relevant information for investors? informed decision making, (2) professional roles
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in