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- How to Open an account : An investor wishing to trade securities needs to contact a broker or a sub-broker in order to open a trading account.
- How to Trade : When you decide to buy or sell any securities, you must place your orders by choosing one of the following methods:
- Go to the broker office or branch where you opened your account, and fill out the order form.
- Via telephone: Call your marketing officer who takes care of your account.
- Via the Internet through your broker's Web Site: so-called Internet trading or online trading.
- Broker's Role and Responsibilities : It is generally believed that the broker serves only as a middleman in securities trading, with commissions as his return. In fact, however, for this commission, the broker has to be responsible to their clients for accuracy, starting from opening the trading account until completing clearing and settlement.
- The Supervision : At present, the Securities Exchange Commission is the organization in charge of the surveillance of brokers' operations. In case any investor or any person involved is not fairly treated, or would like to report on a brokers' operation and their staff, they can contact the Market Intermediaries Supervision Department, the Securities Exchange Commission, Tel: 252-3223.
- Dealing with the Broker : Once you've decided to invest in the stock market, you have to deal with either a broker or a sub-broker, because the law says that you can't trade securities directly on the SET but must do it through a broker or a sub-broker.
Brokerage Firms
- A Guide for Foreign Investors
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The interpretations and conclusions given represent those of the authors. They
do not necessarily reflect the view of the Royal Thai Government, its
departments or other related institutions.
Thailand Investor
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Tel. +66(0) 2357-3490, Fax. +66(0) 2357-3533
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