reasonably suspicious circumstance not to identify the real client or beneficial owner, the intermediary shall deny to provide any service. Clause 33 For the purpose of categorizing type of a client , an
identify the real client or beneficial owner, the intermediary shall deny providing any service. Clause 33 ( For the purpose of categorizing a client, an intermediary shall consider the received information
would have caused the firm to reject the client had such conditions existed at the time of initial acceptance; · Clients delinquent in paying fees; · Engagements in specialized industries; · Engagements
notify such conditions to the counter trader, and the securities company may refuse to purchase or sell within the conditions agreed provided that the securities company clearly explain the ground of
(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...
price and: (2) In the case where the bid-offer price is conditional, the securities company shall clearly clarify the conditions to the counterparty , and the securities company shall be allowed to refuse
applicant for obtaining an approval as a personnel in the capital market business, the SEC Office shall reject the application for obtaining the approval thereof. Clause 33 In case a person obtaining an
, the SEC Office shall reject the application for obtaining the approval thereof. Clause 33 In case a person obtaining an approval from the SEC Office to be personnel in the capital market business and
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...