broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
borrowing of securities for making a short sale. Such agreement shall include a statement that the client gives consent to the securities company to retain securities purchased in a margin account or cash
investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
intermediary in the category of derivatives investment management and shall obtain a prior consent from the client, who uses the service from the intermediary. 1 Amended by the Notification of the Capital Market
intermediary in the category of derivatives investment management and shall obtain a prior consent from the client, who uses the service from the intermediary. 1 Amended by the Notification of the Capital Market