Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
or right of a person arising from derivatives trading. “close out a derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
for Establishment and Management of Property Funds for Solving Financial Institution Problems ; (2) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures for
ล่วงหน้า ไม่ดำเนินการล้างฐานะสัญญาซื้อขายล่วงหน้า (close out position / force close) ในวันที่ 19 ธันวาคม 2549 จนทำให้ลูกค้าบางรายได้รับความเสียหายและอาจนำไปสู่ข้อร้องเรียนได้ นั้น สำนักงานขอเรียนว่า
financial institutions: (a) a commercial bank under the Law on Financial Institution ; (b) a life insurance company under the Law on Life Insurance ; (c) a financial institution established under any other