case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet
in Paragraph 1. In such case, the SEC Office may prescribe other requirements for compliance by the securities company. Clause 8 A securities company shall establish a compliance unit and an internal
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
ended as of 30 June 2020 which has been reviewed by auditor are as follows: Table 1: Financial Summary for the 2nd Quarter of the year 2020 and 2019 Unit: Million Baht Q2’2020 Q2’2019 Increase (Decrease
following major changes: Cash and cash equivalents increased by 174.0 MB, representing an increase of 85.1% and Other current financial assets (Investments in unit trust in fixed income funds) increased by
management companies, investment unit brokerage companies; directors of the Thai BMA; directors of inter-dealer brokers (IDB); 2. Fund managers, derivatives fund managers, property fund managers