securities investments; “investment advisory agent” means a natural person other than director or officer of the investment advisory company, appointed by the investment advisory company to be an advisory
Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of
unauthorized physical access. Additional Guidelines 1. The intermediary should design the secure areas by considering physical protection against natural and man-made disasters. Perimeters of building or site
) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements; (15) any other
Security Fund; (13) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements
failure of computer systems used for trading securities by companies which are members of the Stock Exchange of Thailand. If the incident results in no ability in recording an offer for trading come from
Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the