Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
million baht at the head office for at least one year as from the closing date in a manner that the offeror would be able to promptly present to the SEC Office upon request. Clause 4 The issuer of
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
securities company shall send a report on a client’s assets as of the last business day of each month to the client within the fifth business day of the following month, except the month where no transaction
general: : 2.1 First name ……………………… Last name ………………………. Former name (if any) ………………………………………………... 2.2 Date/month/year of birth ............., age ………..years, gender.... 2.3 Nationality …………………… 2.4 O
fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the private fund management company shall present its
hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
deposit the arbitrator’s fee in accordance with Clause 32 at the same time of filing the counterclaim, or within the last day of the counterclaim filing period. Clause 11. In cases where any party intends
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
of an entity issuing capital market product and various business risks and [ii] analyzing past and present performance so as to forecast future performance. “ technical analysis ” means an analysis by