matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
appoint a panel of three arbitrators in the statement of claim, and the respondent may indicate his intention whether or not to agree to have three arbitrators in the counterclaim under Clause 10. In cases
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
power under the aforesaid notification. Clause 9/1. In the case where the lender is one of the following juristic persons, the business operator and the lender may agree otherwise for the undertaking
intermediary should establish another measure to ensure that the operation of the outsourcee remains in compliance with the agreed term; (7) establish the term for the outsourcee to agree upon to allow the SEC
explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 19 A securities company may agree with a client on the rate of return which the securities company
may agree to pay the savings and contribution into the fund at the rate higher than that specified in the first paragraph upon approval of the Minister. The employer shall remit the amounts mentioned in
Person Classified as Institutional Investor , the lender and the borrower may agree on terms and conditions regarding collaterals differenct from the above rules. Clause 21 A securities borrowing and
of Signatory A, or [ii] which is responsible for regulating securities or derivatives activities and agree with the SEC Office on memorandum of understanding concerning consultation and cooperation and