Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as

and Exchange Commission No. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Operational Control in Securities Underwriting _____________ By virtue of Section 14 and Section 116 of the

: Rules, Conditions and Procedures for Securities Underwriting _____________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E.2535 (1992) as amended by the Securities and

No. TorThor. 70/2552 Re: Rules, Conditions and Procedures for Securities Underwriting (Codified) _____________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535

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

undertake securities business in the following categories of: (l) Mutual fund management; (2) Private fund management; or (3) Securities brokerage, securities dealing or securities underwriting but not

underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business

management, brokerage, dealing or underwriting of securities and a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of investment units to

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

securities dealing, securities underwriting, or other securities businesses as specified in the notification of the SEC; or (b) those acquired upon a permission from the Office and in accordance with the rules