, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
for securities trading. Chapter 3 Communicating, Soliciting, and Giving Advice to Clients ___________________________ Clause 17 Paragraph 1 shall be repealed. In case of providing services to a client
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading
securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company
settling the assets with outstanding obligations to the following third parties: (a) a person related to the transactions of derivatives trading or securities trading of the client , in which case the
19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
securities company, Bank of Thailand or licensed to undertake securities business in the category of securities trading under the foreign law; “Institutional client” means the following customers: (1