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
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
not such agreement is made under a written contract. “employee” means a person who agrees to work for the employer and receives wages, notwithstanding whether or not there is a written contract
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
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
operational system; · determine the event or priority of violent of problem ; · determine for solving the problem in detail; · determine the responsible officer and authorize person and having name list and
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives
authorize an agent or any other person to perform a specified act. SECTION 24/1.4 To protect the public interest or investors, the SEC Office or the person designated in writing by the SEC Office shall have
management company. Clause 6. In cases where the private fund management company invests in or holds shares of any companies as assets of a private fund, but the customer does not authorize such private fund