Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
under the Derivatives Act B.E. 2546 (2003) . “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having
clearing house established under the Derivatives Act B.E. 2546 (2003) ; “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing
trading orders outside the intermediary’s offices every calendar year, which has the details of venues, dates, time, and scope of services. Such report shall be kept at the intermediary’s head office for at
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
kept at the intermediary ’s head office for at least five years as from the last day of the calendar year when the services thereof are provided outside the intermediary ’s offices in order to be