by the client to take care of the trading account and inform the client after the trades were executed. Meanwhile, {A}, a head of the marketing team, admitted that he was informed by {B} that the
investment consultant and her approval of the head of department or equivalent position, effective from July 3, 2015.4. Suspended {D} from her duty as the approved capital market investment consultant for 3
undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch
branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch Office” means a securities company’s branch office in Thailand that provides services
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
provides services within the scope approved for such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds