characteristics as specified in Section 103, the Office shall have the power to withdraw its approval and the securities company shall propose other persons for the approval from the Office within fifteen days from
communicate emergency plan to concerned person acknowleged as necessary and preventing unauthortized person acknowleged Propose to delete “preventing unauthortized person acknowleged” IT Club Approve with the
provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such
An intermediary shall propose only suitable services relating to investment or transactions of capital market products to a client . In this regard, it shall take into account the following factors as
customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be
client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
drawing lots shall be deemed retirement upon expiration of the term of office. 6 Upon expiration of the term of office of board members, the SEC shall propose a list of experts to the Selection Committee