/Documents/ActandRoyalEnactment/Act/translate-trustact.doc 6409pe.doc electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market products
, conditions and procedures for brokerage and dealing in foreign securities issued under the law on securities and exchange; (2)1 “derivatives broker” means entity licensed to undertake derivatives business in
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
e-service Online Submission Derivatives Dealing Registered Derivatives Dealer | Licensed Derivatives Dealer Securities Businesses Company Name Head Office 1. BUALUANG SECURITIES PUBLIC COMPANY
e-service Online Submission See canceled document Securities Underwriter Business >> Securities Dealing (Section 114) Type Title Section See Document Status Notified Date Effective Date 1. Act
อมัน่ใหแ้ก่ผูล้งทุน จึงปรับปรุงหลกัเกณฑก์ารซ้ือขายหลกัทรัพยข์องพนกังาน (staff dealing) ใหมี้ความยดืหยุน่ รัดกุม และครอบคลุมยิง่ข้ึน รวมทั้งสอดคลอ้งกนักบัหลกัเกณฑใ์นเร่ืองดงักล่าว ของผูป้ระกอบธุรกิจหลกัทรัพยป์ระเภท