22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
must declare its intention to appoint debtholders’ representative since the beginning process that it applies for approval of debenture issuance to SEC because the appointment during the tenure of such
person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after
not purchase or sell any securities by using inside information which is likely to have an advantage against third person. And shall not disclose inside information for any personal gain. Clause 13
inside information which is likely to have an advantage against third person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on
to Appoint a Personnel to be a Director or a General Manager of the Securities Business B.E. 2553 dated 1 February B.E. 2553 ; (2) Notification of the Office of the Securities and Exchange Commission
to Appoint a Personnel to be a Director or a General Manager of the Securities Business B.E. 2553 dated 1 February B.E. 2553; (2) Notification of the Office of the Securities and Exchange Commission
independence. 3.2.6 The board should appoint relevant committees to review specific matters, to screen information, and to recommend action for board approval; however, the board remains accountable for all