Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as

the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

company that provides a custodian service for assets of its clients, whether for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.

; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this

Office of the SEC regarding Approval of Auditors , from....(date)……. until ....(date)……, I hereby wish to inform the change of the audit firm to which I am attached, from …….…(name of the former audit firm

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the

and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities

services to the client , as specified in details in Chapter 5; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified