transaction. The intermediary shall not support to or collaborate with its client for investment or entering into a transaction which is unsuitable with the client ’s financial status, or the client ’s ability
investment or entering into transaction. The intermediary shall not support to or collaborate with its client for investment or entering into a transaction which is unsuitable with the client ’s financial
into force from 16 August 2006. Clasue 2. The following shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. SorNor. 44/2541 Re: Rules on Affiliated Transaction
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
daily basis. (6) investing in repurchase transaction of the securities under (2) or (3) in accordance with the following rules and conditions: (a) having a counterparty which is an institutional investor
securities company shall send a report on a client’s assets as of the last business day of each month to the client within the fifth business day of the following month, except the month where no transaction
and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the majority shareholder. If the business structures of the Company or the
needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a
mutual reliance and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the major shareholder. If the business structure of the Company or
, the credit rating shall include the support credit rating assessed by the credit rating agency based on the tendency that such bank shall receive financial aids from the government if necessary. Clause