Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities
submit the audited financial statement in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in IEC’s failure to submit the reviewed financial statement
;) accordance with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board and failed to manage PCASH strictly in accordance with the approved mutual fund