. “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered
a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC
regulations under Chapter 2; (2) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (3) provisions of investment analysis and providing
under the Derivatives Act B.E. 2546 (2003) . “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having
clearing house established under the Derivatives Act B.E. 2546 (2003) ; “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing
knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development
) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (4) provisions of investment analysis and consultation to clients shall comply with the
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is