regulatory requirements · Technical knowledge and expertise, including knowledge of relevant information technology · Knowledge of relevant industries in which the clients operate · Ability to apply
Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate
) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
to the client which shall operate at least during the office hours of the securities company . (2) publicize or disseminate the information on the implementation under (1) to the client ; (3) disclose
failure of computer systems used for trading securities by companies which are members of the Stock Exchange of Thailand. If the incident results in no ability in recording an offer for trading come from
necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
, or have been stipulated such requirement but it is necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The