market. Division 2 Principle for business operation of an intermediary _____________________________ Clause 3 For legitimacy of business operation, an intermediary is obligated to the principles as
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
) person holding a position called by any name who provides consultation or opinion to the committee under sub clause (6); (8) person who executes buying and selling orders for a fund . Clause 9 Personnel in
. (4) “Work experience relating to gold” means experience of working in the business relating to buying or selling gold or gold derivatives. Clause 2. An applicant for a license to undertake gold
experience relating to buying or selling of precious metals or derivatives relating to precious metal ; (4) demonstrating that a director, a manager or an authorized management person who is responsible for
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
consultation or opinion to the committee under sub clause (6); (8) person who executes buying and selling orders for a fund . Clause 9 Personnel in the capital market business performing functions under Clause 4
accordance with the relevant rules and for the work unit responsible for post-trade operation to confirm the securities buying or selling with the counterparty promptly. Clause 8 A securities company shall be