Exchange” means the Stock Exchange of Thailand; “securities trading center” means the securities trading center under the law on securities and exchange; “Office” means the Office of the Securities and
the Securities and Exchange Commission I, Mr./Mrs./Ms..........................(FULL NAME) ........................................................................., a certified public accountant No
, and securities depository center in accordance with Section 206 and Section 222 of the Securities and Exchange Act B.E. 2535 (1992) (SEA).* The Meeting also approved the principles for amending the
will help the participants to gain benefits and have more opportunities to present useful innovations for the country’s financial system and capital markets. SEC will also exchange knowledge and ideas
Securities and Exchange Commission concerning Maintaining Net Capital. 5 (2) having a system for handling client’s complaints and dispute resolution efficiently, for instance the compliance according to the
paragraph relating to computer or electronic system: (1) the Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information
_____________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and Section 92 of the Securities and Exchange Act
concerning Investment of Funds; “business day” means a day on which management companies are open for normal business; “Stock Exchange” means the Stock Exchange of Thailand; “provident fund with multiple