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

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

, so as to ensure compliance with this Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with

private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company

damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities

. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it

Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any

devices and modify up to date. [M] · Inspect the securities of devices prior to connect to network system such as virus scanning, value specifying inspection related to security etc.. and cancel absolutely

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

(UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 13 June 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference