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
aims to standardize the SEC regulations in line with the changing situations to ensure that only necessary regulations are issued and enforcement is effective. In any case, appropriate investor
, while reviewing the existing regulations to be in line with the current situations and remain as necessary for more convenience, less business-sector costs, lower burden on people and compliance with the
respond more accurately to the changing risk landscape. Audit regulatory body also needs to follow suit by closely monitoring the growing situations to allow for an adaptive regulatory mechanism that is
review of the existing laws and regulations. The reviewed laws and regulations that are no longer necessary or do not keep pace with situations or remain obstacles to living or occupations will be
existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to living or occupations will be abolished or revised to
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the