Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial

. In this regard, all information requested from clients must be up-to-date at the time the KYC/CDD process is undertaken. Furthermore, where the customer is a natural person, the securities company

complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer

to the SEC Office within fifteen days from the date of registration undertaken by the company- partnership registrar. Clause 7. This Notification shall come into force as from 1 November 2005. Notified

clearing and settlement shall be made to the clearing house ; (b) a person under over-the-counter derivatives trading or securities trading undertaken through or in the name of the intermediary for the

information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples

exchanges in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO). Clause 4 For the purpose of regulating securities brokerage business undertaken by a

infrastructure business has such duty, the management company shall state the procedures already undertaken and attach a letter from the infrastructure business to be invested by the fund or from the regulating

offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

its personnel committed in the name of the intermediary ; (2) the insurance shall be used only for the maintenance of capital under Paragraph 1(3) of Clause 4 of the Notification concerning Maintenance