directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
current assets as of the end of the latest financial year, (2) any lawsuit that affects the business undertaking of the Company or a subsidiary materially but the assessment whereof cannot be quantified in
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets, whether for the purpose of keeping, purchasing, selling, borrowing or
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
18 03/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses 23/11/2011 01/12/2011 3