licenses to the SEC Office as per the forms and procedures provided on the website of the SEC Office. Clause 18 A securities company licensed to undertake securities business under the Ministerial Regulation
Clause 15, Clause 16 and Clause 19/1, a licensee shall prepare and submit a report on the payment of fees according to licenses to the SEC Office as per the forms and procedures provided on the website of
portfolio, and others receivable of 165 million baht. - Allowance for doubtful accounts As of February 29, 2020, the Company provided allowance for doubtful accounts of 3,962 million baht or 4.39% of total
meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial institution is under supervision of a financial regulator
another financial institution to conduct face-to-face meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial
view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests, leaking
the view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests
broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker has made with the client shall contain no statement which enables the derivatives