underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business

lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment

internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work

derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to

derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading

at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned

information, caution, restriction, prohibition or risk in relation to the services; (7) arranging for the acknowledgement and acceptance of the client about conditions or limitation of providing services as

client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the

official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The

the law on life insurance; and (4) a financial institutions established under a specific law. Clause 4 . Without the limitation or restriction to the power of the Board of directors of the SEC under