intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
) 1 (1) Profit for the quarter 9 17 (8) 2.5% 3.9% Consolidated financial information (Unit : Million Baht) 3 Months Change % Change 2 / 3 Operating results by business for the three-month period ended
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
at the end of each month to the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities
the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities company. In case the client
causes a movement or change in the client’s assets under custody of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction
last business day of each month to the client within the fifth business day of the following month, except the month where no transaction causes a movement or change in the client’s assets under custody
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired