for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) 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
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
party's own benefit or in capacity of an agent of a non-resident third party; (2) providing service of securities borrowing and lending by securities depositary center to its members, if securities
indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its
in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; In case where shareholder under the first paragraph is a legal entity, its director or
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
clearing and settlement system, or protecting and preserving benefit of customer. Clause 10 Provisions of Clause 3 and Clause 4 shall not be applicable to shareholding by major shareholder existing prior