appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

law on securities and exchange (SC.) licensed to operate securities business in the category of: Ο securities broker Ο securities dealer Ο investment advisor Ο securities underwriting Ο mutual fund

undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various

of the independent directors under the first paragraph of sub clause (2) would not be applied to an intermediary in the category of investment advisor or derivatives advisor; (3) having appropriate

company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give

website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the

ละ 50 ของทุนจดทะเบียน) ( ) นายหน้า (Broker) ( ) ผู้ค้าหลักทรัพย์ (Dealer) ( ) ผู้รับประกันการจำหน่ายหลักทรัพย์ (Underwriter) ( ) ผู้จัดจำหน่ายหลักทรัพย์ (Distributor) ( ) ที่ปรึกษาการลงทุน (Investment

business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not

service or back office service; “Securities company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535

take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker Clause 15. In this