such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in

provides services within the scope approved for such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its

intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client

limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3

limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3

control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

concerning the restriction on the right of unit holders who exceed holding limit or have vested interest shall be furnished with the following; to receive distribution, the management of dividend and the

is approved to execute both types of transactions, the maximum limit shall be the total limit; (2) have the client make an agreement in writing for borrowing of money for purchasing securities or

confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position limit of their clients, the

confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, 3 which specifically stipulate a position limit of their clients, the