Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept until the handling of
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries , as well as other notifications or guidelines issued under such Notification
; “ Notification on Standard of Business Operation ” means the Notification of the Capital Market Supervisory Board concerning Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
for securities trading. Chapter 3 Communicating, Soliciting, and Giving Advice to Clients ___________________________ Clause 17 Paragraph 1 shall be repealed. In case of providing services to a client
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in