to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
foncier companies; (Translation) -2- (5) insurance companies; (6) juristic persons but not include any juristic person as prescribed in (8); (7) international financial institutions; (8) government agencies
and interest from WOG Technologies (Thailand) Company Limited (“WOG THAI”) (The Existing shareholder) amount of Baht 42 million. 2) To repay creditors arising from the purchase of assets used in WOG
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic person in
” means a person who entrusts a securities company to undertake the purchase and sales of securities on his/her behalf; “institutional customer” means a commercial bank or finance company or securities
the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the