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
17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with the following rules: (1) being
futures Futures is a contract where both the buyer and seller have an obligation to comply with the agreement in the contract. Therefore, if the contract is not closed out before the settlement date, the
Establishment of Company under the law of the jurisdiction where such foreign ETF is established – in case of foreign ETF established by an investment company; or [ ] (b) Trust Instrument or Trust Agreement – in
number of voting rights of such juristic person; (8) “ client solicitation ” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment
such juristic person; (8) “ client solicitation ” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for the clients as
agreement showing that the company may invest in securities or assets for private fund management company in the same manner as the investment in securities or assets for private fund. Part 2 Affiliated
exceeds fifty percent of the total paid-up shares with voting rights of the company being held, or an individual holding shares of the company in any subsequent level in a number exceeding fifty percent of
, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering characteristics, scopes, and
units with an agreement that the insured shall pay premium to the life insurance company for protection against death or payment upon life and the insured shall pay for the purchase of the mutual fund’s