. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the
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
or equivalent degree accredited by the Office of the Civil Service Commission and not less than three years of work experience; or 2. Lower than a bachelor’s degree and not less than five years of work
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
Debentures Denominated in Foreign Currency shall be as set out in Chapter 2; (3) Specific Provisions related to Providing Services of Outbound Products shall be as set out in Chapter 3; (4) Service Personnel
; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the