trading center are shares of limited companies under the Civil and Commercial Code which are not offered for sale through a crowdfunding portal approved by the SEC Office in accordance with the Notification
Business (No.7) dated 30 August 2017 (effective on 1 October 2017). 1 Dishonesty defined as the dishonesty as prescribed in Section 1 of the Criminal Code B.E. 2499 (1956), which means doing any act in order
or the agencies relating to capital market business which are recognized by the SEC Office; 14 (5) not having a demeanor of unfair act or taking advantage of investors on trading or investing in
the Securities and Exchange Act B.E. 2535 (1992); (7) a company issuing listed securities; (8) a company whose securities are traded in securities trading center; (9) a trust under the law governing
Section 18 of the Derivatives Act B.E. 2546 (2003), which contains certain provisions relating to restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering securities trading service for such account
trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering