until the handling of such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or
1 เอกสารรับฟังความคิดเห็น เลขที่ อนธ. 37/2560 เรื่อง การแก้ไขกฎกระทรวงเพ่ือขจัดอุปสรรคในการขอใบอนุญาตธุรกิจหลักทรัพย์ เพื่อให้สอดคล้องกับนโยบาย ease of doing business เผยแพร่เมื่อวันที่ 7 พฤศจิกายน
Smart Traffic Co., Ltd. to the existing shareholders at a price of Baht 20 million and to the third parties at a price of Baht 18 million by mean of bidding resulting in the Company’s realization of the
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
with Customer Complaints dated 1 February 2002 shall mean a reference to this Notification. Clause 7 This Notification shall come into force from 1 September 2009. Notified this 3rd day of August 2009