purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

management, and takeover of business Nevertheless, material assets under (b) are the assets that have been acquired or disposed by the company to the agreement to enter into the transaction as prescribed by

accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the

” means any mutual fund which has specified in its scheme the actual real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and

has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8

for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and

) Financial Institutions established under specific law which is a financial institution under the law on loan interest rate of financial institution. Clause 16/1. A securities company shall get to know its

customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give

institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired