which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system

Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as

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

starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by

particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any

following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason and a waiver is granted by the Office: (1

consistently a name list of user for the importance operational system and inspecting a name list account of unauthorized user such as the name list account of resigned officer, default user etc. and cease the