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

following two business days; (2) improving the capability to maintain collateral and liquid asset adequacy for a period of not less than seven consecutive business days, within thirty days from the date on

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

by a foreigner, the intermediary shall comply with the following additional rules: (1) selecting a foreigner who has credibility and capability to provide consultation of investment and is permitted to

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

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

financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least

service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct

mutual funds shall present highest, lowest and average performance and be compared with the performance benchmark of the proposed mutual fund (if any); (9) other information which are necessary to make a