this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
firm follows to provide reasonable assurance that new or revised regulations, interpretations, or rulings on independence, integrity, and objectivity matters considered appropriate for its practice? 12
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as
information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units, services or the operation of fund management, or
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
, borrowing, lending of securities or for the guarantee of purchase, sale, borrowing or lending of securities or for any other benefit, shall comply with the rules prescribed in this notification. The
, derivatives broker shall provide service only for institutional investor, and in such cases provisions of Clause 16 and Clause 17 shall not be applicable to the aforesaid service. In providing service as