securities in the Stock Exchange through the Securities Trading System set up by the Stock Exchange; “Stock Exchange” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
holding an equivalent position or higher, who is in charge of financial advisory functions fails to meet the conditions set forth under (3) (4) (a) (b) or (c) of Paragraph 1 or (5)(a) or (c) of Paragraph 1
Expansion: We have expanded our business network and services within the AEC+3 region continuously. In response to customers seeking to venture into other Asian countries, we set our sights on expanding
รายงานการประชุมคณะกรรมการตรวจสอบ ครั้งที่ 4/2548 Page 1/19 Ref. SET-2020-004 17 March 2020 Subject: Notification of the resolutions of the Board of Directors’ Meeting No. 2/2020 on the restructure of