Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in

restriction (4) Commencement date and expiry date of the agreement (5) Procedure for appointing a custodian (6) Information that should be disclosed to the client and the duration of such disclosure 6.1

company shall regard those conditions both or all sides of counterparties; (2) not be purchasing agreement of investment units between an issuing mutual fund and another purchasing mutual fund which both of

agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several subsidiaries or associated companies, they may be presented in

of the risk management or allocation of IT resources in a year, etc.; (b) any progress of the IT project (if any); (c) any compliance with the regulations, rules or agreement made with external parties

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

products , the intermediary shall control the services in compliance with the following rules: (1) separating area for communication with or providing services to a client from other business area