, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
investment advice and providing service relating to trading investment units, mutatis mutandis, unless there is any provision in this Notification especially. Clause 7 Prior to accepting to be an agent for
Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of
; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of Thailand; (21) juristic
business operator under the Law on Derivatives; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20
ลงทุนเพื่อให้ได้มาซึ่งทรัพย์สินของบริษัทจัดการ (proprietary trading) ด้วยตนเอง) 29/01/2550 21. หนังสือเวียน ที่ น.(ว) 20/2549 การปรับปรุงแบบรายงานการกระทำที่อาจก่อให้เกิดความขัดแย้งทางผลประโยชน์ และการ
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
not limited to debt securities or the units; (c) brokerage, dealing, or underwriting limited to units which: 1. has securities portfolio; 2. provides services of trading investment units, registered as
) brokerage, dealing, or underwriting limited to units which: 1. has securities portfolio; 2. provides services of trading investment units, registered as listed securities, for clients through a member of SET