rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
incentive systems) with regard to its partners and professional staff are designed to demonstrate the firm’s overriding commitment to quality; · The firm devotes sufficient resources for the development
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
) representation of the debenture issuer to mortgage, pledge or provide other collateral against the debenture within the specified period of time in accordance with Section 44; (8) procedures for, time and place of
BUSINESS SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an individual, and shall be allowed to undertake a
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
(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...
performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate