Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

example, several appointments of new executives in the present year), give an estimate of such remunerations in the present year as well. (2) Other remunerations (if any) Specify other remunerations and

consistent and suitable for the risks and complexity of each type of capital market product by taking into consideration the best interest of clients. In addition, such communication and provision of services

] · Keeping a program of prior to developed version for use in case of present version is out of work. [M] 2.6 Post-implementation test · Determining a test of developed or altered operational system after

notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the private fund management company shall present its

stipulate that it is the duty of the intermediary to do as such; (5) ensure that its providing services are consistent with the intention of the client and perform at least as follows: (a) provide

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able

Exchange dated 22 December 2004 and its amendment, which are in force on the date on which this Notification comes into force, shall remain in force to the extent that they are consistent with or not