: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (No. 2) dated 24 September 2014. Clause 3 In this Notification: “ capital market product
Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (No. 2) dated 24 September 2014. Clause 3 In this Notification: “ capital market product denominated in foreign
capital market product under (b). (5) the client wishes to invest by subscribing to an IPO of capital market products in the categories of share, share warrant, debenture, bill or bond. In this regard, the
market product s including [existing] clients of an intermediary ; “ institutional investor ”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
of more than one product line or business group, disclose the income proportion of each in the table below, which shall include at least those contributing more than 10 percent of the total income in
overall business operation of the Company or its group of companies. 2. Nature of business operation In case of more than one product line or business group, disclose the income proportion of each product
analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker
market product s including [existing] clients of an intermediary . “ institutional investor ” means an institutional investor as specified in the Notification of the Securities and Exchange Commission
of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following