responsibilities to the customers from any act or omission of any act, willfully or negligently, of the derivatives broker or its personnel Clause 17. For the benefits of prevention and desisting an unfair
investment or represent that there shall no loss on investment at any fixed rate, with the exception of a representation given in accordance with the criteria prescribed and notified by the SEC Office; (5) in
the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
(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...
characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act
is correct, accurate, and complete in all respects. I/We also certify further that the said documents neither contain any false or misleading statement in materiality nor omission of any material
the said documents neither contain any false or misleading statement in materiality nor omission of any material statement that ought to be declared. In this regard, as evidence that each and every page
nor omission of any material statement that ought to be declared. In this regard, as evidence that each and every page of the documents is of the exact documents to which I/we have certified, I/we have