particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
Derivatives Act B.E. 2546 (2003), which contains a particular provisions relating to restriction of rights and liberties of persons while Section 29 along with Section 35 Section 36 Section 39 Section 48 and
its custody; (2) any business operator, which ceases to undertake any particular category of its business by regulation or order, and when the SEC Office has received notice in writing from the business
service and securities underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (3) The securities
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...