) provide service in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in
acquisition / disposition วิธีการไดมา2/ จําหนาย3/ Method of acquisition/ disposition ไดมา/จําหนายผาน บล. ……….. Transaction made through (specify broker’s name) ผูซื้อ/ ผูรับโอนหลักทรัพย โปรดระบุชื่อ
order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
after transaction date วิธีท ารายการ3 Method of transaction ท ารายการผา่น บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซ้ือขาย หลกัทรัพย ์ โดยวางหลกัประกนั ให้ระบุดว้ย 4 (Specify
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
include a financial institution under other law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that
derivatives broker’s responsibility on assets of clients, and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker’s duty, there shall be a statement
-dealer brokerage company, and registered derivatives intermediary; “intermediary’s board of directors” means the board of directors of an or a committee assigned by the board of directors of an