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
least bachelor’s degree or other academic degrees accepted by the Office of the Civil Service Commission (OCSC); (2) having work experience relevant to real estate businesses as well as useful and
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.
security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] · Providing a service as necessary. In case of
reasonably suspicious circumstance not to identify the real client or beneficial owner, the intermediary shall deny to provide any service. Clause 33 For the purpose of categorizing type of a client , an
derivatives and publicly announced those analysis. (7) “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s
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
Capital dated 5 June 2014 shall be repealed.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