brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the

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

following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This

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

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

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the

- 2 - สิ่งที่ส่งมาด้วย - ตัวอย่างการคิด company limit ตัวอย่าง : บลจ. A ทำธุรกรรม reverse repo กับคู่สัญญา B ทั้งสิ้น 3 ธุรกรรม โดยใช้ตราสารหนี้ ของบริษัท ( ( และ ( ตามลำดับ ทั้งนี้ มูลค่าธุรกรรมและ

Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with

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