declining to clients . Clause 12 A securities company shall not mislead its counterparty regarding material facts of securities trading by refraining from disclosure of information, distortion of information
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
persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
applicable to the undertakings falling outside the previous restriction. Clause 11. This Notification shall come into force as from the day following the date of its publication in the Government Gazette
for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and
and loss account which has not yet occurred and is shown in the shareholders’ equity until the due date of such instrument in the same manner as decreasing surplus or discount of a debt instrument. (5
) Financial Institutions established under specific law which is a financial institution under the law on loan interest rate of financial institution. Clause 16/1. A securities company shall get to know its
customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give
decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was
rectify the damaged financial position by decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being