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

receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the Office of the Securities and Exchange Commission. (5) “ general liabilities

purchased to order; (f) receivables of margin loan and receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the SEC Office. (4

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

management company shall comply with other notifications which specify rules related to funds in the following matters: (1) the details of the fund project; (2) the stipulation of the commitment between the

requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and

commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office

) (7) (8) and (9) and harmonize with the elaborate commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the

investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically

ที่มีการรับประกันการจัดจำหน่ายต่อ (sub-underwriting commitment) ได้แก่ มูลค่าหลักทรัพย์ที่ บล. ผู้รับ ประกันการจัดจำหน่ายต่อจะต้องรับผิดชอบซื้อไว้เองถ้าไม่สามารถจัดจำหน่ายได้หมด 1.2 มูลค่าของหลักทรัพย์