premise of the securities company; (3) Arrange to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such
to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such securities company; (b) Promote or publicize to the
through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or transfers of assets in large amount from or to accounts of third parties, who are not ultimate
attempt to avoid conducting transactions through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or transfers of assets in large amount from or to accounts
the client’s payments and settlements indicate an attempt to avoid conducting transactions through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or
. Clause 14 A securities company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company
company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company. In this regard, the
through its representative office. Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
person thereof shall not be an agent for selling or receiving thereof in the Kingdom of Thailand whether directly by itself or through its representative office. 6 law on securities and exchange means the