reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments dated 26 September 2000 shall mean reference to this Notification. Notified this 3rd Day of August
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
names of foreign personnel of foreign business operators, allowing a more flexible timeframe from one business day in advance to within seven business days from the day investment information or advice
Institution , a life insurance company under the Law on Life Insurance , and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of
the Law on Life Insurance, and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of any securities, which is not limited to
of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions