Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
not be a director, officer or employee of the securities company. The securities company shall publish its balance sheet and profit and loss account prepared in accordance with the first paragraph for
trust is managed with fairness under which all related information has been sufficiently disclosed to beneficiaries who thereafter hold no objection to the act. The disclosure and objection shall subject
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
being ready to manage funds for others, with the intention of investing in derivatives, for profit and has been licensed or registered under this Act, excluding those derivatives fund managers with the
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
profit in short space of time, and vice versa, he or she may make a large amount of lose in that time which can be over the initial margin placed with the derivatives broker. 4. Risk from futures position
virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to restriction of rights and liberties of persons which Section 29 in conjunction with Section 33