of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling
” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or
products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause 57; (c) additional systems as stipulated by other notifications. In
following specific services: (a) investment analysis for capital market products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause
appropriately protected, the intermediary shall identify organizational IT assets and define proper protection roles and responsibilities. Provisions in the Notification No. Sor Thor. 37/2559 Clause 15 An
been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody
จัดการกองทุนรวมมีประกัน (guaranteed fund) กองทุนรวมคุ้มครอง เงินต้น (capital protected fund) กองทุนรวมที่มีการกระจายการลงทุนน้อยกว่าเกณฑ์มาตรฐาน (specific fund) กองทุนรวมดัชนี (index fund) และกองทุนรวมอีที
where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a