client to perform whenever using the services; (5) conflicts of interest (if any); (6) practicality between the intermediary and the client in accordance with laws, relevant Notifications and procedure set
transaction of the client does not violate or fail to comply with the procedure and method set. Clause 22. A securities company shall not trade securities by using the account of a client for another client
the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
กรณีซื้อขายหุ้นแบบ big lot (put-through) ใน ตลท. เว้นแต่เป็นการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝากที่บุคคล ที่เกี่ยวข้องซึ่งเป็นสถาบันการเงินเป็นผู้ออกหรือคู่สัญญาเพื่อประโยชน์ในการบริหารสภาพคล่อง
the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set out on the website of the
the arrangement, except for the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
to the rules specified in the notification of the SEC Office. SECTION 32 A trustee shall be prohibited to set off the obligation arising beyond the performance in trusteeship owed by the trustee to a