applicant must possess and maintain the criteria for operations stipulated for the Self-Regulatory Organization (SRO) in line with the standards of the International Organization of Securities Commission
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
repayment ability of each client. In performing the duty in accordance with the criteria specified in Paragraph 1, the derivatives broker shall comply with the standards of conduct prescribed and notified by
criteria Security Type --- Not Specify --- Common share Warrant-Preferred share Real Estate Investment Trust (REIT) Infrastructure Fund Property Fund Debenture Note Derivative Warrants Securitization