person or other relevant places for inspection of financial condition, operation, asset or information relevant to the applicant. Clause 15 In cases where the SEC considers that the applicant is qualified
Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
Commission 10/2540 17/02/1997 Report/Form (Notification of Securities and Exchange Commission) Application for Establishment of Service Center for Invesment Management Business 3. Notification of
and Procedures for Establishment and Management of Infrastructure Funds (Synopsis) 10/01/2011 16/01/2011 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road
SorThor/Nor/Dor/Khor 11/2551 Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies 28/04/2008 01/10/2008 Contact The
SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism 01