shall bear no term or condition in which the securities company can be waived its responsibility to the clients, whether it is done from the act or omission of an act, intentionally or by negligence of
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
contingency operation .[M] 2.3 Temperature and humidity controlling system · Controlling the environment condition which have temperature and humidity appropriately according to settle the temperature of the
training institute or having completed the courses that are approved by the Office; (4) Being neither a permanent staff member nor an executive who has power of management in other companies, nor being an
แบบแจ้งชื่อผู้บริหารของบริษัท “For effective filing, fill out Form 35-E1 via the SEC electronic filing system only , print out the completed form, affix the authorized signature and submit the
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546
referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
businesses of the majority shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on the said