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

dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

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

procedures and processes to resolve the issues, and lists of contact persons and the communication channels, etc.; (8) define the level of security for each type of data to be used in the cloud service by

amount of money for each day shall not be less than the total amount of net balance calculated at the end of prior working day or at the end of present working day from cash account and margin account of

million baht at the head office for at least one year as from the closing date in a manner that the offeror would be able to promptly present to the SEC Office upon request. Clause 4 The issuer of

business operator may do so only with prior approval from the Office. In seeking such approval, the business operator shall present document and evidence related to operating plan, operating system in

in Clause 13(1) (a) and (b); (2) In case of advertisement related to ratings or awards other than that specified in (1), the securities company shall present only information under (1)(b) 1. to 3