Trading (section 98(7)) Other Business Undertaken by Securities Companies (section 98(8)) Advertising (section 98(10)) Acting as Securities Company Agents (section 100) Loans to Customers (section 102
found that during August 2014 to March 2015 many clients asked the company to add another contact phone number to their profiles and the company subsequenlty used only the new number to confirm trading
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
บนัจดัอนัดบัความน่าเช่ือถือท่ีไดรั้บความเห็นชอบตามหมวดน้ี ตอ้งด าเนินการให้เป็นไปตามหลกัปฏิบติัในการประกอบธุรกิจการจดัอนัดบัความน่าเช่ือถือ (Code of Conduct Fundamentals for Credit Rating Agencies) ท่ีก า