and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities

Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the

do not collect money or assets, or do not draw the money from the cheque paid from the distribution of the assets, the liquidator shall deposit money equal to the amount of such debts or cheques or

not comply with the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board or the SEC Office, the securities company shall collect all relevant data and notify

for the securities business account receivable and accrued interests which unexpected to collect within the accounting period In the case of debtor occurring from the corruption of employee and a debtor

the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause 13. The securities

which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities

Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the

derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However, should there be any