Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
liabilities. The company’s strategy for the year 2020 From the pandemic of the Coronavirus (Covid-19) impacting to the world and caused many types of business to severe disruption and unable to assess when the
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business
securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers
written policy, scope, or definition of work to be outsourced, with approval, whether on a general or case-by-case basis, of the board of directors or the working group assigned by the board of directors
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
complaints, as detailed in Chapter 8; (8) approval of rules or regulations, as detailed in Chapter 9; (9) preparation and disclosure of financial statements, as detailed in Chapter 10; (10) retention of