Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14 and Section 19 of the Derivatives Act B.E
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising the trading of capital market products by the employees, both for the investment of the
). Clause 9 A proprietary trading of derivatives by a securities intermediary shall be in accordance with the Notification of the Capital Market Supervisory Board concerning Derivative Trading and Provision
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
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