necessary and appropriate; (b) the dispute between a natural person who agrees, receives or uses services, or enters into a contract with the respondent relating to securities or securities business, or the
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
___________________ Division 1 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for
Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for selling investment units
characteristics as described under Clause 12 except for the cases specified under Clause 13 and Clause 14. Clause 11 In the interest of Clause 10(1), any action below shall be deemed that the issuer or the offeror
offeror of an outbound product has an intention to offer such product for sale in Thailand, regardless of whether such action is carried out by the intermediary, the foreign intermediary or the issuer or
period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of operation in case of
Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural