-General The Office of the Securities and Exchange Commission (SEC Office) We, [Name of the juristic person or non-juristic group of persons in Thai and English], having an office at

) We, [Name of the juristic person or non-juristic group of persons in Thai and English], …………………………………………………………………………………………………………………………………….………………..……… having an office at

using the information to advise or otherwise advantage another person in transacting in the trading instrument. 4. GOVERNANCE, RISK MANAGEMENT, AND EMPLOYEE TRAINING 4.1 the CRA establishes, maintains

natural person who ultimately owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately

in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in relation to the customer’s account or

owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in

which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades

instruments; (2) “securities company” means a company licensed to undertake securities business in the category of securities dealing; (3) “counterparty” means a person who trades securities with a securities

years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security

years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security