/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company

(ทุกตราสาร ยกเวนต๋ัวเงิน) ขออนุญาต Online+P* หรือ Paperless (เฉพาะหุนกู Securitization และตราสาร BASEL) หมายเหตุ: Paper : สง hard copy รายงานขายตามรูปแบบที่พิมพจากระบบพรอมลงนาม P* : สง hard copy

In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a

.  No. 4 – Revision has been made to remove restrictions and minimize service users’ burden for proof of identity and identity verification. (Previously, service users had to be present in order to submit

provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would

online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would be a person with

accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the

recognized as ‘right-of-use’ and ‘ lease liability’ at the present value of lease payment over the remaining lease term. The leases including tower lease agreement, site rental, office & shop building rental

for the nation, they are required to comply with relevant domestic and international rules and regulations at present and in the future. The latest trend focuses on consumer rights protection to ensure

Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology