: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as from 16 May 2006. Clause 2. In this Notification: “Derivatives broker” means a juristic person licensed
Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market
other benefits from the client, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order
trustee, with trust and confidence in order that the trustee shall manage such https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-trust2007-amended.pdf RIA.pdf รพำณิชย์อิเล็กทรอนิก ส์ ( Model
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain