should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the educational background and related work experience. Such personnel should not have record in violation of the
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the
media or objects. This does not include the information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units
initiating after the market closing time shall be deemed as it is initiating in the next business day. Clause 3 A derivatives broker shall at least include the following information in the confirmation
joined the client as a director or in a key management position? 3 Family/Personal Relationships: Do they require that partners and professional staff report any immediate or close family and other
with such person, the benefit arising from such transaction would be for the benefit of the persons under (1) or (2) ultimately; (4) a person with a close relationship with an intermediary, either by
matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not include a financial institution under other