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of the intermediary and the obligations related to transactions of derivatives trading or securities trading, and segregating the client’s assets from those of the intermediary ; (2) clearing or
determine methods and procedures for securities trading for clients on a time priority basis and give priority to the benefit of clients over the benefit of itself. In particular, it shall trade securities
companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once
trading for the client on time priority basis unless the order of the client clearly specifies the condition of trading otherwise. The securities company shall give priority to the benefit of the client
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services
) ประทับตรา (ถ้ามี) (...........................................) หมายเลขประจำตัวประชาชน (ID) ................................. วันหมดอายุบัตร