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
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
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
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
the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds thereform to invest in, or procure for profit from
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration