purchasing demands when the securities price is lower than the offering price, and if the securities price is higher than the offering price, the amount of securities eligible for trading may increase.” Remark
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
shall prepare in writing (electronic transaction like e-mail) with an approval by the authorised person such as chief of Section requested, chief of computer division requested etc.. [M] · Providing an
, derivatives intermediary or life insurance company whether established under Thai or Foreign law. “ payment information management for securities trading ”5 means services relating to collecting, organizing and
knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief
หน่วยลงทุนและการจัดการกองทุน (Fund Service Platform) สำนักงานขอนำส่งภาพถ่ายประกาศจำนวน 2 ฉบับ เพื่อกำหนดหลักเกณฑ์ การให้ความเห็นชอบผู้ให้บริการระบบสนับสนุนงานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและ การ
in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for proprietary trading which would be able to prevent the following occurrences: (a) negative
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...