applicant for obtaining an approval as a personnel in the capital market business, the SEC Office shall reject the application for obtaining the approval thereof. Clause 33 In case a person obtaining an
, the SEC Office shall reject the application for obtaining the approval thereof. Clause 33 In case a person obtaining an approval from the SEC Office to be personnel in the capital market business and
notify such conditions to the counter trader, and the securities company may refuse to purchase or sell within the conditions agreed provided that the securities company clearly explain the ground of
price and: (2) In the case where the bid-offer price is conditional, the securities company shall clearly clarify the conditions to the counterparty , and the securities company shall be allowed to refuse
be applicable to the following clients: (1) a derivatives business operator under Thai or foreign law; (2) clients other than Subclause (1) who decline, in writing, to the derivatives dealer , to
registered person, such person shall notify the decline of such renewal to the management company who has appointed such registered person as its fund supervisor within the next following date after the Office
. Clause 35 In case a client ’s suitability to invest in or enter into a transaction of capital market products is unable to be assessed, the intermediary shall refuse to provide any service. However, in
assessed, the intermediary shall refuse to provide any service. However, in case the client is the member of provident fund, the intermediary shall comply with the provisions as prescribed in the law on
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...