services for customers, the securities company shall open Monday to Friday from 8.30 A.M. till 5.00 P.M. and close on weekend and traditional holidays as notified by the Office on a yearly basis; (2) in case
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it
. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September
Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor. 19/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By