Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data
” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This Notification is intended to
closed-end fund and open-end fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been
Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange
the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary