during such period. Clause 3. Any securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from
purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office shall request your consent. In this regard, the SEC Office
request. Clause 30 In order to accurately and effectively address an incident in a timely manner, the relevant derivatives exchange shall take at least the following actions: (1) create a written plan to be
shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office
clients. In this regard, such documents shall be made readily available for immediate use or verification by the management company, and shall be made available for the SEC Office’s inspection upon request
immediate use or verification by the management company, and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office deems appropriate, a management company
request for the Licence return to NBTC on 10 May 2019, comprising 3 transactions as follows: (1) the transaction of the disposal of all investments in WPS (Thailand) Company Limited, having the highest
Office for inspection upon request. 6 Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the capital in accordance with the Notification