, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
affected the integrity of derivatives trading in the Derivatives Exchange, or have or may have caused the price of derivatives traded in the Derivatives Exchange to be inconsistent with the normal market
account. Clause 29 In providing derivatives brokerage services, the derivatives broker shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive
inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication
and completeness of information contained in the registration statement. If the registration statement contains any false statement or omits to state any material information which should have been
registration statement contains any false statement or omits to state any material information which should have been disclosed, the unitholders shall be entitled to claim damages from the CIS operator pursuant
client’s derivatives trading is inappropriate or may contravene the law on derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
prove that by my position, status or duty, I should not have learned of the false information or statement or concealment of any material fact which should have been expressly disclosed; and (3) Any