Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
undertake securities business in the category of securities brokerage. Clause 19 In considering an application for account opening and entering into an agreement with a client to appoint a securities company
Derivatives Brokerage ________________ Clause 17 In providing the derivatives brokerage service, the derivatives broker shall enter into a written agreement with the client who has assigned the derivatives
into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
an agreement to trade securities with the counterparty . Clause 15 A securities company shall report information on the trading transactions of the securities registered with the Thai Bond Market
Nor. 22/2552 Re: Establishment of Mutual Fund and Execution of Agreement for Management of Private Fund dated 28 July 2009; “ provident fund ” means a provident fund under the law governing provident
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to