Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

operator, which ceases its business in all categories by regulation or order, and when the SEC Office has received notice in writing from the business operator or when the order has come into force, shall be

business in all categories or which is suspended from its securities business in all categories by order of the SEC or the Office, and when the Office has received notice in writing from the securities

notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business

substitution holidays later when deemed appropriate. By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Paragraph 1 of Clause 2 of the Notification of the Capital Market Supervisory

contract; “derivatives exchange” means the derivatives exchange licensed from the Securities and Exchange Commission. Clause 2. When disclosing risk associated with futures trading, the derivatives broker

July 2006 shall be repealed and replaced by the following provision: “ Clause 13. When engaging in any affiliated transaction for the fund, the management company shall act in the interests of the fund

baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics

by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an