securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics, the securities
Redemption and Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4
Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551
Market Advisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by
Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and Section 130 of the Securities and Exchange Act B.E. 2535 (1992
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) , and Section 114, Section 115, Section 116 and Section 117 of the Securities and
such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording
applicant. The original shareholders in Paragraph 1 shall mean the shareholders whose names are on the applicant’s shareholder list as submitted to the Ministry of Commerce. Clause 5 In the case where an
Exchange Commission No. Kor Thor. 32/2560 Re: Maintenance of Net Capital ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities