as specified in paragraph one hereof. Clause 5.3 The following securities companies which are required to pay fees at the rates as specified under Clause 3 shall be exempt from payment of such fees as
, which have duty to prepare and file with the Office such reports on the financial status and business operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the
operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28
, margin accounts, and clients’ assets, as required by the Notification of the Office of the Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28 November
disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity
impact analysis and assess potential damages arising from major operational disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations
Office needs to consider additional facts, the SEC Office shall notify the derivatives business operator in writing by stating the grounds or period of time required for such consideration, as the case may
(Approximately Baht 9,366,679) which is accounted to 0.01% under the total value of consideration criteria (maximum transaction value criteria). The transaction is categorized as small transaction, is not required
which is accounted to 0.02% under the total value of consideration criteria (maximum acquisition value criteria). The transaction is categorized as small transaction, is not required to be disclosed