) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
purpose of the provision in the first paragraph, a beneficial owner of shares includes any beneficial owner of shares prescribed under the fourth paragraph of Section 25; (12) “Ministerial Regulation
ลูกค้าและการมอบหมายงานด้านการจัดการลงทุนให้บุคคลอื่นของ บลจ. จะไม่กำหนดไว้ในประกาศ COI แต่จะมีการกำหนดไว้ในประกาศเกี่ยวกับระบบงานและประกาศเกี่ยวกับการมอบหมายงานแทน 2.2 guideline COI 2.2.1 กำหนดเพิ่มเติม
. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system
of shares prescribed under Paragraph 4 of Section 25; (12) “ Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business ” means the Ministerial Regulation Concerning
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of