market products without awareness of necessarily fundamental information for investment; (2) shall not make such promotion to be a lucky draw or a manner of drawing lots for finding the client who gets a
(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...
27, such auditor shall disclose his finding or render his opinion and clarify consequences material to the financial statements in his audit report. SECTION 30. The auditor under Section 28 shall be a