the features not different from the substantial features most currently disclosed to the Office throughout the life of the fund. In case a change is made to the features of the fund, the management

/scheme and investment restrictions that are required by the laws and regulations. (3) Having risk management system for the risk which may occur. (4) Determination of the investment committee meeting to be

gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000) baht; (2) There being no event which

Management of Property and Loan Funds ; “ inside information ” means any fact that is material to the change of the prices of securities or derivatives and has not been disclosed to the public, and any

procedures by meeting the following criteria: (1) educate all employees and contractors on IT security policy relevant to their job function; (2) communicate to the employees and contractors that they should

obtains a securities business license type C or is in a process of applying for such license. Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the following

meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial institution is under supervision of a financial regulator

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

C or is in a process of applying for such license. Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the following qualifications: (1)4 having paid-up

accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2