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

, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who

otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office

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

procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be

postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider

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

, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1