intermediary by having control between each other; (3) a company and an intermediary are under control of the same person. “ control ” means control as determined by the definition of “control” under Section 89
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
bonds are entitled to redemption under a firm quotation price or at a minimum price pre-determined on the issue date of such bonds. Clause 12 In order to appoint or assign any person to perform duties
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6