, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
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
. 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