or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive
or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; Published
offering of securities services, the securities operation or research on securities or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide
relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or
, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or dishonesty; (3) During the course of
custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets
from Filing of Registration Statement of Securities. Clause 22. In case where the securities company keeps the client’s assets in its own custody, whether in its own premise or other person’s, such
document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering
request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In