Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
from the date on which the SEC Office has received accurate and complete evidentiary documentation according to the Licensing Manual for the Public. In this regard, the SEC Office shall specify a period
information set to the new service provider through an interconnected system on the condition that investors personally check whether or not the received information is accurate and up-to-date. In such case
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for derivatives trading
undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for derivatives trading positions held by a
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
or unfairness to investors in general, or investors may not have received accurate or sufficient information to support their investment decision making. Clause 10 If any of the following
date when the SEC Office has received the complete and accurate application together with the evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 8 Any person who