debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or securities dealing: (1) commercial banks; (2
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
://publish.sec.or.th/nrs/9697p.xlsx QAQR-07.xlsx is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and
มีความเป็นระเบียบ https://publish.sec.or.th/nrs/9697p.xlsx QAQR-07.xlsx is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system
securities company or employees of the securities company . Clause 21 A securities company shall trade securities according to orders of a client who is the account owner and shall have a reliable system to
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
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
client’s account 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