securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “institutional client” means a person who makes transactions with a securities company in securities

to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount

services in some cases. Gold consumers and investors are therefore advised to use discretion and exercise prudence in purchasing or selling gold only with reliable gold business operators. For further

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

appropriate, reliable and efficient operating system to support an intermediary’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client

appropriate, reliable and efficient operating system to support an intermediary’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client

licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying

undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under

undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under

) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account