company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply
. “ major participating investor ” means any person specified in the ETF scheme that such person would be able to buy or sell ETF units with mutual fund management company or operator of foreign ETF , as the
shall be specified with details on the identification and number of customers/suppliers, the nature of relationship and the types of products for sale and purchase. In any case, if the Company has already
Notification on Standard Conduct of Business and this Notification, it shall be deemed that the intermediary has already been permitted to buy or hold shares by the SEC Office in accordance with Section 98(7)(b
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices and time, which may be deemed that he intends to match the trades (matched order) without any
mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9) certificates representing the rights to purchase investment
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action