ninety days from the date of appointment of the arbitrator. Except where it is deemed necessary and appropriate, the arbitrator, at its own discretion, may extend the period for making a dispute resolution
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
that may affect the opinions, shall notify the interest and shall not participate in the considered case. Clause 38 In order to ensure that the exercising discretion of the SEC Office under this Chapter
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
to ensure that the exercising discretion of the SEC Office under this Chapter is transparency and due process, prior to notifying suspension or revocation order or period for removing a person from the
. Remark : Preparation of financial prediction in this annual registration statement is voluntary and may be done at any period. In any case, the Company shall do so with discretion to ensure that the
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the
done at any period. In any case, the Company shall do so with discretion to ensure that the prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the