Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
agreement on appointment of representative in writing. Clause 19 An intermediary shall arrange a securities borrowing and lending agreement which contains the descriptions and essences as specified under
or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed without delay
best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 1.3.4 Shareholders
interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 2. Nature of business In case
shareholders' rights and ensures fair treatment or how the corporate management works for the best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the
during any period of twelve months without performing any acts deemed to be presentation of oneself as derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries
obligations, but not in Clause 2(3); (3) twenty-five million baht for undertaking the following businesses without price settlement and contract delivery obligations: (a) Undertaking derivatives business with