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

, borrowing, lending of securities or for the guarantee of purchase, sale, borrowing or lending of securities or for any other benefit, shall comply with the rules prescribed in this notification. The

securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 10. For an advertisement related to a promotion which provides investors who invest in

fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a

encumbrance of others to the borrower, and the borrower has to pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the

lending of securities or for guarantee of purchasing, selling, borrowing or lending of securities or for any other purposes, shall comply with the rules prescribed herein. The provisions in Paragraph 1

of the insurance company; (b) letter of guarantee of a commercial bank, finance company, or financial institution established under a specific law; (c) other collateral prescribed by the Office

institution, a guarantee letter from the financial institution shareholder that it can maintain the capital adequacy and capital reserve as prescribed. Provided that, after submitting an application, if it

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