Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial

complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer

clearing and settlement shall be made to the clearing house ; (b) a person under over-the-counter derivatives trading or securities trading undertaken through or in the name of the intermediary for the

. In this regard, all information requested from clients must be up-to-date at the time the KYC/CDD process is undertaken. Furthermore, where the customer is a natural person, the securities company

exchanges in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO). Clause 4 For the purpose of regulating securities brokerage business undertaken by a

to the SEC Office within fifteen days from the date of registration undertaken by the company- partnership registrar. Clause 7. This Notification shall come into force as from 1 November 2005. Notified

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

infrastructure business has such duty, the management company shall state the procedures already undertaken and attach a letter from the infrastructure business to be invested by the fund or from the regulating