take client’s money segregated as client’s assets to deposit with or invest in financial institution having a relationship as a parent company, subsidiary or affiliate company, unless the consent is made
collateral for the benefit of other persons or itself. Clause 21.5 Subject to the provisions under clause 18 (1)(a), securities company shall not take client’s money segregated as client’s assets to deposit
information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for
take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for contacting, soliciting or giving advice on securities investment for client from
authorized by the board of directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section
directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section 3 of Derivatives Act B.E
verify that the person submitting such trading orders or instructing the securities company to take any actions regarding the assets in the client’s account is the rightful account owner or the person
reliable system to verify that the person submitting such trading orders or instructing the securities company to take any actions regarding the assets in the client’s account is the rightful account owner