detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable derivatives clearing houses to practice in a consistent manner; (2) set out detailed
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
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
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
Notification to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable securities clearing houses and central securities depositories to practice in a
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
with Chapter 4; (5) additional rules in accordance with Chapter 5. 3 Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented