of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3

derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling

trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment

[i] using historical price and trading volume of capital market product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity

conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or

in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for proprietary trading which would be able to prevent the following occurrences: (a) negative

knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the

proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity

” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the

purchasing demands when the securities price is lower than the offering price, and if the securities price is higher than the offering price, the amount of securities eligible for trading may increase.” Remark