director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
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
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application and supplemental documents. In case the Office refuses to grant approval for
the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a
management company within a reasonable period. In this regard, such information must be accurate and up-to-date, present neither misleading, distorted facts, nor material content that differs from such
result of the application in the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application together with supplemental documents. In case the
accurate and suitable investment advice for clients. Clause 13/1 6 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business
shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete