Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board. SEC Act S.35 Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 1/2024 Dated 30/01
. Disclose the conditions governing the manner in which such a meeting would be convened, such as quorum requirements, the conditions for being allowed to attend the meeting and the minimum number of votes
the service meets requirement of the client ; (2) execute the client ’s requirements through the market mechanisms and with best execution according to market conditions; (3) report or inform the
_____________________________ Clause 4 The requirements of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement and operating systems, as
requirements: Clause 1. The Notification of the Office of the Securities and Exchange Commission No. SorNor. 32/2543 Re: Rules, Conditions and Procedures for the Approval of Mutual Fund Managers dated 31 July