holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling derivatives contracts; 1
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the condition 2
estimated, and not guaranteed, for the ………… period ending as of …………….”; (2) specify clear and easy-to-understand information related to a sensitivity analysis that has been audited by an auditor or a
-ร่าง- (UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 28 September 2018 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 14/2558 Re: Provisions relating to Offer for Sale of Securities Issued by Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange ___________________ By virtue of Section 16/6 of the...
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client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution
shall apply unless a waiver is granted by the SEC Office: (1) in the case where the cause of inability to sign signature is the result of unconsciousness or inability to control oneself owing to physical