to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

อนุญาต (trader ID) หมายเลขโทรศัพท์ที่ เจ้าหน้าที่การตลาดใช้ใน การติดต่อลูกค้า รายชื่อลูกค้าในความรับผิดชอบ ขอรับรองว่าข้อมูลข้างต้นถูกต้องและครบถ้วนตรงต่อความเป็นจริง

appointment of a person, who has registered as bond trader with the Thai Bond Market Association, to be investment consultant for providing consultation on debt securities for institutional investors on behalf

brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to

to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund