In case the customer files a complaint to the SEC Office which delivers the complaint to a derivatives broker, the derivatives broker shall report the results to the Office within thirty days from the
certify the correctness of the updated profile; unless the customer opposes within thirty days from the date the investment advisory company delivers the updated profile to the customer, such updated
baht for mutual fund or private fund management business whose business does not fall under (1)(c)1, 2 or 3; (3) ten million baht for mutual fund or private fund management business that provides service
Securities and Exchange Act B.E. 2535 (1992) provides that a securities company shall prepare a balance sheet for each accounting period and such balance sheet shall be audited and given an opinion by an
(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require
business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
company that provides a custodian service for assets of its clients, whether for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock