In this Notification: "derivatives dealer" means a person holding a license to undertake a derivatives business in the category of derivatives dealer; "institutional investor" means an institutional
will be developed to support the whole process of trading products in the capital market from the issuance, offering, trade to clearing and settlement of securities as well as enhance the efficiency of
connection, investors are strongly advised to be careful with solicitations to trade securities in other persons’ accounts and not to transfer money into IC personal accounts as it may lead to investment
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a securities company, Bank of Thailand or licensed to undertake securities business
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in prospectus
) provide service in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “institutional client” means a person who makes transactions with a securities company in securities