regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
term of the quality of the audit oversight system ? Yes No Is the audit oversight authority you registered with in the country that was assessed under the FSAP and received at least “Broadly Implemented
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange
the audit firm’s or has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors , and I am willing to
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for