securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose
association relating to securities businesses which has been approved by and registered with the Office and whose main objective is to promote and develop securities businesses in the category of investment
person, registered with the Thai Bond Market Association, who responsible for securities trading. Chapter 3 Contacting, Soliciting or Giving Advice to Client Clause 16. In contacting, soliciting, or giving
information to Thai Bond Market Association as rules prescribed by the Office. Clause 15.11 Securities company shall appoint a person, registered with the Thai Bond Market Association, who responsible for
prescribed by the Office. Clause 15.11 Securities company shall appoint a person, registered with the Thai Bond Market Association, who responsible for securities trading. Chapter 312 Contacting, Soliciting or
identity of the client or the beneficial owner and controlling person of the company; (3) a foreign collective investment scheme (CIS) which is not registered with or authorized by its official regulator; (4
determining the true identity of the client or the beneficial owner and controlling person of the company; (3) a foreign collective investment scheme (CIS) which is not registered with or authorized by its