units or departments providing services under regulatory sandbox: (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4) securities underwriting
shall be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox , but only within the units or departments providing services under
be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox, but only within the units or departments providing services under
bondholders’ register; - Delivering the bondholders’ meeting invitation at least seven days before the meeting date; (2) Granting an exemption for the use of the list of bondholders entitled to
02 654 3344 โทรสาร 02 654 3323 ทะเบยีนเลขที ่0107554000232 No.: PACE-L 36/2018 Date: 21 December 2018 Subject: Disclosure on Connected Transaction Regarding Providing Financial Assistance Attention
securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing investment advice to
application and providing investment advice to clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner
custody of the securities company and where the client’s account is suspended from making transactions in compliance with the rules of such securities company. For the benefit of providing reports on