Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

information via the public network, it shall receive an international standard encryption such as SSL,VPN etc. [M] · Providing a measure on controlling the correct of information that storage, input, operate

under the law on undertaking of finance business, securities business, and credit foncier business (FC.); □ a securities company under the law on securities and exchange (SC.) licensed to operate

following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services

subsequently to operate securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to

) any business operator, which has not been permitted to operate business yet in any particular category, given the SEC Office’s ongoing process of inspection before operating business, shall be exempt

management. Clause 4. Those licensed to operate the following businesses shall pay the annual fixed fees to the Office at the specified rates as follows: (1) Dealing of debt securities, at the rate of Baht

broker under Paragraph 1(2) ceases to operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain