/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
trust is managed with fairness under which all related information has been sufficiently disclosed to beneficiaries who thereafter hold no objection to the act. The disclosure and objection shall subject
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
permission shall be in accordance with rules, conditions and procedures prescribed by the Securities and Exchange Commission, thus the Commission has issued the Notification of the Securities and Exchange
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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
; “Office” means the Office of the Securities and Exchange Commission. Clause 3. The securities company shall prepare a financial statement in accordance with the format annexed to this Notification and shall
Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform