Conduct of Business in case of providing service for acceptance of trading orders of capital market products outside the intermediary’s offices, an intermediary shall comply with the regulations prescribed
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
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
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
companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment
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
the Exchange or foreign exchange shall be at the rate of 0.001 percent of the trading value, calculated according to the following methods: (a) in case of licensees being members of the Exchange or
. "securities dealing" means a purchase, sale of exchange, outside the Securities Exchange or an over-the-counter centre, of securities, for one's own account in the normal course of business. "investment
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
the value or suitability of any trading or investment in derivatives; (6) Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside