purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this Notification

has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8

the category of any intermediary or capital market products ; (2) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

ถือหุ้นรวมกันเกิน ร้อยละ 30 ของจำนวนสิทธิออกเสียงทั้งหมด และมีสัดส่วนการ ถือหุ้นมากที่สุดใน นิติบุคคลนั้น หุ้นสามัญ (common share) หุ้นบุริมสิทธิ (preferred share) ใบสำคัญแสดงสิทธิที่จะซื้อหุ้น (warrant

obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments

result from the operation of an infrastructure business or the operation of any other assets acquired through the operation of an infrastructure business; (d) the right of claim in a sales and purchase or

records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the

accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the