, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional
) imposing the intermediary to submit any information, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the
the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk
(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้
; (2) in case of having excessive units from the subscription of the subscribers under (1), the management company may allot units to other subscribers; (3) the management company shall not allot the
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements
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
person who has power to instruct the order for securities possesses an account with the securities company; (2) delivering a copy of monthly securities trading report which display transaction of