documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such
which it receives the request with complete and accurate documents in full, except in cases where it is necessary to consider additional facts and the Office has informed the securities company of such
the end of any business day. In case the securities company has ceased its derivatives business and already informed the cessation thereof in writing to the SEC Office, such securities company shall
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
documentation to be informed of the client ’s financial status and debt-paying ability. In case of a retail client , the securities company shall arrange sufficient information or evidentiary documentation to
” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for