suspending their business or suspended business operations by SEC List of company licensed Securities Brokerage (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation Company Name Website AIRA AIRA

147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Brokerage (Section 113) | - |- Securities Dealing (Section 114

securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in

.* Undertaking to submit to the non-exclusive jurisdiction of the Host Jurisdiction’s courts (as per Appendix III of the Handbook for CIS Operators of ASEAN CISs) [ ] 5. Evidence on the appointment of a brokerage

of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the

brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border

category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual

  (2) Notification of the Capital Market Supervisory Board No. Tor Thor. 30/2568 Re: Custody of Client Assets of Licensed Derivatives Brokerage Agents (No. 5): https://publish.sec.or.th/nrs/10848s.pdf

for business intermediaries (trading centers, brokerage firms or traders) is required to identify themselves to service trading of Libra in Thailand.Protection of Personal Information: The public

misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and