not receiving a fee or any reward, either directly or indirectly, related to giving advice unless such fee or reward is received from operating a business of website or electronic media that is not

licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business

the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause

Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the

Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows

No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September

Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who