derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if such persons have breached or failed to comply with the regulations prescribed
market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if
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…………… (attachment) (if any) O No (3) Was fined under the law on securities and exchange relating to unfair securities trading or under the foreign law in similar offence: O Yes (please specify) For example, date of
……………………………………………..… Completion date punishment …………… (attachment) (if any) O No (3) Was fined under the law on securities and exchange relating to unfair securities trading or under the foreign law in similar offence: O Yes
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
member who can place trading order through the system for trading capital market products , if such persons have breached or failed to comply with the regulations prescribed by the Seock Exchange or the
) ................................................................................................................................................................ 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