Dealers (No.3) dated 4 January 2013; (32) The Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 47/2553 Re: Rules for Providing Investment Advice and Services related to Trading of
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during
to clients from those responsible for making decisions on securities trading for the securities company . Clause 10 A securities company shall separate work units and personnel responsible for
on securities investment to clients from those responsible for making decisions on securities trading for the securities company. 4 Clause 10 A securities company shall separate work units and
Company which are traded in the SET during 7 consecutive business days (the day on which the stock market is opened for the stock trading) prior to the first day of the offering of the newly-issued shares
securities trading system and other relevant systems of the Stock Exchange. Meanwhile, an information technology system is necessary for securities clearing houses and central securities depositories to
law on concerning agricultural futures trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of Thailand; (21) juristic person in the category of