intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any
the exchange of information [bilateral MOU] of which essences are the same as MMOU, including has legal power to provide assistance to the SEC Office as stated in the memorandum of understanding; (3
17 February 2009, the Cabinet has declared 6 July 2009 a special public holiday in order to stimulate domestic consumption and promote tourism business. By virtue of Section 110 of the Securities and
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
: Representation and Warranty 3.1 Director and Executive’s Representation and Warranty (a) I have given the company my personal information as stated above and hereby represent and warrant that all information and
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 hereby signed my/our initial or
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
/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to
เปิดเผยข้อมูลด้วยตนเอง (self-declared) และพิจารณาขอเอกสารข้อมูลสินทรัพย์อื่น ๆ เพิ่มเติมจากลูกค้าได้ เพื่อตรวจสอบข้อมูลการ self-declared ของลูกค้าเท่าที่สามารถกระทำได้ (best effort) 3.1.2 การจัดทำคำแนะนำ