the SEC as being necessary to rectify the condition or operation of the securities company; (c) in the case where an appointment is made in accordance with Section 145; (d) in the case where the holding
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
as advertised” or “in case the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, the management company may not accept redemption of investment units
receive the return as advertised” or “in case the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, the management company may not accept redemption of
, manager or person with managing power of other securities company: O yes (please specify in detail) Name of company……………………………………………… condition or time Clause of termination of office in such company
shall bear no term or condition in which the securities company can be waived its responsibility to the clients, whether it is done from the act or omission of an act, intentionally or by negligence of
financial instrument of the company with financial instrument of other business, subject to a condition beneficial to the company. 9. Property, plant and equipment means tangible assets under all of the
against other businesses of the major shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on
specified in the notification of the SEC whereby the return of such securities depends on the financial condition and the business operation of an entity who is not a securities issuing company and such
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform