Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
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
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
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
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the rules, conditions and procedures specified by the notification of the SEC
technology security of the securities company in writing and have it approved by the Board or Committee of the securities company. Clause 3. The securities company shall provide an inspection of information
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