Business regarding the prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
listed securities to be deposited by a client as collateral for purchasing securities, or a client’s excessive assets held in a margin account in proportion to the purchasing value of any securities prior
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
before. The Company had reviewed the situation and consequently adjusted premium rates or stopped selling insurance policies with excessive risks. Moreover we intend to increase the volume of insurance
Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first
receives from selling units and is registered with the SEC Office; (17/1)8 “auditor” means a certified public accountant who has obtained an approval from the SEC Office; (18) “association” means an
compliance with the internal control . 5.4 The board of directors and executives do not put excessive pressures on each personnel duties. Risk Assessment 6. The organization specifies the objectives with