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
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.
Total Income 2. Expenses 2.1 Expenses on Borrowing 2.2 Fee and Service Expenses 2.3 Bad debt and doubtful accounts 2.4 Shares of loss of subsidiaries and affiliated 2.5 Operating expenses 2.5.1 Personnel
loan, a return of the loan, a deposit of collateral or a return of collateral; (4) keep data and prepare report related to the borrowing and lending of securities in accordance with the rules as notified
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service
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
advices about securities investment or securities investment analysis in the following cases: (1) Provide service for the institutional client where the securities company appoint a person who make a
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to