Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
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
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
on such technology for customer communication and service regarding securities and derivatives business. The draft regulations would be imposed on both existing and new operating business providers
draft regulation on such technology for customer communication and service regarding securities business and futures contracts. The draft regulations would be imposed on both new and presently operating