for seeking an approval. Clause 12/3. In the case where the securities company finds that the act of an investor contact may violate or does not comply with the rules prescribed by the Notification of
category A or B, as the case may be, who obtains an approval from the Office as prescribed by the notification of the Office. The securities company shall act in compliance with rules prescribed by the
prescribed by the notification of the Office. The securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such
securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person
2003. (Translation) -3- Clause 2.3 In providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual
company under Financial Institutions Businesses Act; (2) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to
Financial Institutions Businesses Act; (2) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to debt
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the
: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the Notification of the Securities and