limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
not limited to debt securities or the units; (c) brokerage, dealing, or underwriting limited to units which: 1. has securities portfolio; 2. provides services of trading investment units, registered as
) brokerage, dealing, or underwriting limited to units which: 1. has securities portfolio; 2. provides services of trading investment units, registered as listed securities, for clients through a member of SET
operator persuant to the law on agricultural futures trading; (4) the Bank of Thailand; (5) an international financial institution; (6) a juristic person established under a specific law; (7) a government
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
cases where reasonable grounds for suspicion exist. For example, where a securities company identifies unusual fund transfers into a customer’s account followed by transfers out on the same day, without
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office