from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
through its representative office. Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
Securities and Exchange Act B.E. 2535 (1992) 8 Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
approval due to the financial advisor’s failure to meet the requirements under Clause 5(3), (4) (a), (b) or (c) or (5) (a) or (c), the SEC Office may prescribe a period or conditions for accepting a
maintenance services for pneumatic tube carrier systems in the hospital, currently, accepting orders from 2 additional government customers amount a total of 9.36 million baht which the project was completed in
evidence to the SEC Office. The SEC Office thus issues a letter accepting Form 61-1 into the process of granting approval. 1 day The SEC Office 2) Consideration Fact check: - Make an appointment for
approving the issuance of debt securities. Except where the applicant is a public limited company, the resolution for the issuance of bonds shall be obtained in compliance with the law on public limited
giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 16 Repealed. Division 2 Opening of Derivatives Trading Account and Acting as a
the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168