per share. In case of having other securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
materially misleading information. Clause 14 In case of providing services to a non-institutional investor, before opening a derivatives trading account or before trading derivatives for the client, an
) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements; (15) any other
Security Fund; (13) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements
and reliable information, and without misleading information. Clause 29 In case an intermediary has other businesses apart from services relating to investment in and transaction of capital market
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and