the licensees who are members of the Exchange or foreign exchange, as the case may be. (2) the license fee for securities brokerage outside the Exchange or foreign exchange shall be at the rate of 0.001
trading is for clients’ accounts or proprietary account, deducted by the trading value of debt securities; (5) the license fee for securities brokerage outside the Stock Exchange and a foreign stock
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
appointed working group. The BCP as such should be kept at place of business, either inside or outside. The BCP shall cover all critical business functions of companies, including a critical operational
Capital Market Products Outside Intermediary’s Office ____________________ Clause 36 In this Chapter: “ stock exchange ” means the Stock Exchange of Thailand or a stock exchange established under foreign
brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
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
-five percent of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis ; (5) “ retail client ” means a client other than
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency