intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the

capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a

of share dividends; (f) conversion of securities; or (g) any other circumstance. (3) terms regarding restitution for compensation similar to the aforementioned circumstances to counterparty which have

shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information

จากการเสนอขายโดยบริษัทมหาชนจำกัดเอง หรือโดยผู้ถือหุ้นของบริษัทมหาชนจำกัด ๙บริษัทจดทะเบียนตามวรรคหนึ่งต้องไม่อยู่ระหว่างถูกตลาดหลักทรัพย์ขึ้นเครื่องหมาย C (Caution) หรือมีคำสั่งห้ามซื้อหรือขายหลักทรัพย์

caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the

hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person

. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock

share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related

of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2