listed on the SET through backdoor listing, those with no track records on business self-building, and those with their business growth achieved mainly through acquisition of other businesses. Besides
the criteria specified in Paragraph 1, the derivatives broker shall comply with the standards of conduct prescribed and notified by the SEC Office. Clause 15 The derivatives broker shall keep records of
the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168
หรือ 56.0 ล้ำนบำท) Annual accounting support fees from issuers based on average equity market capitalization previous year (ประมำณกำร ส ำหรับปี 2559 จ ำนวนประมำณ $220.9 million หรือ 7,730 ล้ำนบำท) เอกสำร
rates between that financial reporting currency and Thai Baht on the last day of each month during the period. B. Capitalization and Indebtedness Provide information about capitalization and indebtedness
transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there
derivatives transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk
prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including