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

structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be

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

. the operating procedures that meet the internationally-accepted information security standards; 3. measures on IT security, access control, and information disclosure; 4. audit of the cloud provider’s

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

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

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3