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
of Capital for the portion in excess of the particular under Paragraph 1(2) of Clause 4 of such Notification; (3) in case the insurance does not provide retrospective coverage for damage arising from
Act, B.E. 2535 (1992), and Section 139(5) of the Securities and Exchange Act, B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 2) B.E. 2542 (1999) which contains a particular
Company and the subsidiary operating the core business according to the details in Attachment 1 as well. 10.3 Company secretary and the person assigned with direct responsibility for accounting supervision
transaction and such transaction should be fair to the client under that particular situation. (3) Proxy voting (4) The calculation of the asset value of the fund should be carried out in accordance with the
. (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
operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system
audited financial statements for the most recent financial year; (b) having direct investment in securities or derivatives in the amount of not less than forty million baht, or not less than eighty million
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