rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
prescribed under clause 5. Clause 13. The management company may provide services to customers outside the office hours which are prescribed by the Office only if the management company has publicly and
in this Chapter. Clause 38 An intermediary may provide service for acceptance of trading orders of capital market products outside the intermediary’s offices only when the intermediary is qualified and
intermediary shall comply with the regulations prescribed in this Chapter. Clause 38 An intermediary may provide service for acceptance of trading orders of capital market products outside the intermediary ’s
brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the
for determining a required resource. Therefore, it should be approved by senior management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
derivatives agent; (3) person licensed to provide services as securities registrar, excluding persons licensed to provide services as securities registrar under the Notification of the Securities and Exchange
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and
persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient