company as securities broker shall bear a statement of larger fonts, or being marked or done by other methods to highlight such statement to make the client aware of the following matters: (1) risks arising

account or the cancellation date of the agreement. Clause 17. An agreement which a retail client appoints the securities company as his or her securities broker, shall bear a statement of larger fonts, or

case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their

business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations

million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights

: · communications with existing or previous professional accountants; · inquiry of personnel/third parties such as bankers, legal counsel and industry peers; · background searches. And do the considerations include

, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the

frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a

in half by the claimant and another half by the respondent. The Office shall give financial assistance to the claimant as the Office deems appropriate. The Office shall bear all expenses incurred in

repealed by this Notification shall be deemed to be registered as derivatives business operator under this Notification in the existing type of its registration and shall maintain the status of its juristic