relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of

of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours

invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading

any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities exchange; “Management company” means any mutual fund

to clients from those responsible for making decisions on securities trading for the securities company . Clause 10 A securities company shall separate work units and personnel responsible for

securities and exchange or within a time period agreed upon by the parties to the trading of securities, as the case may be. In the case of a short sale pursuant to the customer’s order, the securities company

company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place

making decisions on securities trading for the securities company [proprietary trading]. Clause 7 A securities company shall separate the work units and personnel responsible for securities trading [front

Securities Companies to Establish Branch Offices dated 24 August 2000 shall be repealed. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the

Statement for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr