Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
Exchange Commission No. SorThor. 18/2551 Re: Office Hours and Holidays of Securities Companies _____________ By virtue of Section 108 and Section 110 of the Securities and Exchange Commission Act B.E. 2535
guidelines for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to expiration of approval term. Session hours can be accumulated throughout the
Engagements (4) Human Resources (5) Engagements Performance (6) Monitoring 9. Audit Quality Indicators (“AQIs”) (1) The actual hours spent in reviewing and auditing the financial statements of listed companies
regulations at least fifteen [15] hours in every two calendar years as from the calendar year of obtaining an approval from the Office, of which the syllabus consist of at least three [3] hours’ study on rules
provide such information to clients which shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1
additional margin during trading hours. If the Client does not provide the required margin within the time set out in the agreement or the regulation , the derivative agent is entitled to close out the
which shall be opened for service at least throughout the working hours of the intermediary . (2) promote or disseminate information on the arrangement under subclause (1) to clients; (3) visibly reveal