Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to
Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives
จำหน่ายไปซึ่งสินทรัพย์ที่สำคัญของบริษัท* 1.1 ข้อมูลบริษัท ชื่อบริษัท :..................................ระบุชื่อภาษาไทย.............................................................(“…symbol……”) มีที่ตั้ง
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
month, etc., or derivatives symbol assigned by a derivatives exchange ; (4) amount and price of derivatives contract; (5) transaction type such as an opening or close-out of derivatives position; (6) fees