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
shall have the power to specify the particulars which are material to the agreement. (As amended by Section 6 of the Securities and Exchange Act (No.2) B.E. 2542)
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
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
”), respectively. In this regard, an MRF-eligible master fund is deemed to have complied with the rules specified by each regulator2. In order for business operators to be able to comply with the agreement under HK
marketing representative of private funds; “Customer solicitation” means soliciting of customer to enter into an agreement with a private fund management company by preparing investment plans for such
on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of
deducted by total liabilities . “ liquid assets ” means total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase agreement with accrued interest; (3
Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the