information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of
prior to performing function, except for any of the following cases: 1. the intermediary is a financial institution established under other laws and licensed to undertake securities business as prescribed
market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the date on which this Notification comes into
the capital market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the date on which this
Clause 19 The personnel in the capital market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the
denominated in foreign currency prior to the date on which this Notification 9 comes into force may continue to perform their duty provided that the intermediary shall arrange for such personnel to attend a
ought to be aware of the failure to maintain the capital, unless prior to expiration of such period the capital is corrected in accordance with the Notification concerning Maintenance of Capital for not
capital, unless prior to expiration of such period the capital is corrected in accordance with the Notification concerning Maintenance of Capital for not less than five consecutive business days; (3
provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such