at least 5 business days before the date of providing new services. Division 2 Rules on operation of domestic or oversea branch office _________________ Clause 11 An intermediary shall operate its
baht per year and not more than the maximum rate of 10,000,000 baht per year. In the case where a licensee has suspended the operation of all types of securities businesses specified under Paragraph 1 of
minimum rate of 25,000 baht per year and not more than the maximum rate of 10,000,000 baht per year. In the case where a licensee has suspended the operation of all types of securities businesses specified
any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities
offering of securities services, the securities operation or research on securities or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper
management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk management; selection and
Clause 23 and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors . Chapter 2 Organizational Structure, Operation System, and