Thailand, or a limited company or a public limited company established by the Stock Exchange of Thailand which holds its shares not less than seventy-five percent of the total issued shares; (4) support
) or (6) only functions relating to the accounts and finance of clients; (3) the Stock Exchange of Thailand, or a limited company or a public limited company established by the Stock Exchange of Thailand
” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to undertake securities dealing that is limited only to
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its business and provides services for a client
) dated 9 February 2017 (effective on 16 February 2017). 5 Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following
; (f) arranger of the offer; and (g) other parties who are responsible for disclosure contained in the prospectus (if any). C. Auditors 1. Provide the names, addresses and professional qualifications