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
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
level agreement, recovery time objectives (RTO) and recovery point objectives (RPO); (6) set forth the liability if the cloud provider is unable to provide services in accordance with the service
issuing company under business reorganization plan that approved by the court under law on bankruptcy or debt restructuring agreement; 4. shareholders of issuing company in accordance with previous
agreement; 4. a shareholder of a securities issuer in proportion to existing shareholding (rights offering); 5. a shareholder of an issuer of bonds which are issued to renew existing bonds; 6. any other
Appointing Derivatives Brokerage or its trading regulation, that is when the Client’s balance in its margin account drops to the forced closeout point , the derivatives agent will call the Client to deposit
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