the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and
document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s
Office the ceasing of business operation or the ceasing of transaction execution. Clause 8.9 Securities company shall provide evidence and document about securities trade completely and up date, and keep
Office, the claimant shall submit a statement of claim in the Form OrYor. 1 prescribed by the Office, together with documents and evidence as specified in such form and shall make sufficient copies of the
dispute to the Office, the claimant shall submit a statement of claim in the Form OrYor. 1 prescribed by the Office, together with documents and evidence as specified in such form and shall make sufficient
qualifications: (1) Having paid up registered capital not less than one hundred million baht; (2) Not having a reasonable ground to believe that the applicant has financial condition that is likely to cause damage
following qualifications: (1) Having paid up registered capital not less than one hundred million baht; (2) Not having a reasonable ground to believe that the applicant has financial condition that is likely