Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a
shall be a statement requiring the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients
the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients’ assets unless such
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
) arrange for retaining information, documents and relevant evidences relating to its business completely and currently and in the manner of prompt for being examined by the SEC Office. (4) report to the SEC
efficiency of management and compliance system; (3) arrange for retaining information, documents and relevant evidences relating to its business completely and currently and in the manner of prompt for being