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
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
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.
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
person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting which is not limited to debt
experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and