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 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has

mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.

for an approval and the granting of an approval shall be in accordance with the rules, conditions and procedures as specified in the notification of the SEC.

, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.

Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as

Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as

asset to the instrument holder in an amount and under the conditions expressly or impliedly prescribed therein, such as a bond, debenture, convertible debenture, and a bill or promissory note other than

on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is