would have caused the firm to reject the client had such conditions existed at the time of initial acceptance; · Clients delinquent in paying fees; · Engagements in specialized industries; · Engagements
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
the trading transactions of securities brokerage licensees who are not members of the Stock Exchange; (b) the trading value of debt securities. (2) the license fee for non-members of the Stock Exchange
debt and equity securities. 6. Receivables from clearing house means a net balance account of receivables from the Thailand Securities Depository Company Limited (TSD.) resulting from paying for the
fund manager shall be submitted at least thirty days prior to the last date of the calendar year the refresher course under Clause 9 (1) is due; (4) paying for application fees as prescribed by the
Company has shares or convertible securities as an underlying securities for issuance of investment units of mutual funds for foreign investors (Thai Trust Fund) and the Non-Voting Depository Receipts (NVDR
ethics and professional standards of conduct. In the case where the performance of duty involves non-public information, operational rules for the prevention of the disclosure of confidential information
such mufti-infrastructure businesses. (5) “ company ” means a limited company or a public limited company; (6) “ alternative energy ” means a business that generates energy from non-depletable energy
materially misleading information. Clause 14 In case of providing services to a non-institutional investor, before opening a derivatives trading account or before trading derivatives for the client, an
passwords to maintain accountability; (2) allow users to select and change their own passwords and include a confirmation procedure to verify input errors; (3) require users to create strong passwords such as