Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the
as securities registrar; (6) diagram of the organizational structure of the work unit which will be responsible for providing services as securities registrar; (7) rates of fees and methods of fee
securities issuer; (5) positions, number, power and duties of the employees who will work at the unit responsible for providing services as securities registrar; (6) diagram of the organizational structure of
. Clause 7 If critical functions are outsourced to service providers, intermediaries shall arrange business continuity plan to covers events of disruption of service providers except where intermediaries
and details in this case. It is available on the SEC website at the link: www.sec.or.th/zipmexform. Earlier, the SEC instructed Zipmex to arrange a communication service system for its clients and to
arrange a special audit concerning transactions with MILL?s business alliances which may be considered as related parties and shares dilution in Million Miles Co., Ltd., formerly a subsidiary of MILL; as
Tumbol Bang Num Jeud, Muangsamut Sakhon, Samut Sakhon 74000 Registered under the law Thai Law Registered Capital THB 50,000,000 Par Value THB 1,000 per share Shareholding Structure As of 31 December 2013
providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual fund rating, it shall also comply with Clause