correction to any record, the securities company shall complete such correction within the same working day when the cause of correction is found and shall record the cause of each correction. Clause 14 A
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
provides services within the scope approved for such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its
nor given an SEC approval, to oversee company policies including the monitoring of day-to-day operations and had failed to observe the company’s charter of the board of directors in relation to
reverse stress test. The securities clearing house shall file the report on results of the tests under (1) and (2) with the SEC Office on a quarterly basis within the fifteenth day of the first month of the
Office on a quarterly basis within the fifteenth day of the first month of the following quarter. Clause 5 To ensure that the model or method used in the stress test are appropriate to the current and
the following business day of the transaction date; (2) in case of transaction in respect of trading derivatives, the confirmation statement shall be sent out within the following business day of the