of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
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
, disclose the expenses spent on such research and development during the past three years. In case of none, specify so and explain the reason thereof as well. (2) Marketing and competition (a) Describe the
investment manager for other persons in any manner which is similar to or in competition with the management company’s operation, expect where the capacity as such permanent staff member, executive or
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
หน่วยลงทุนและการจัดการกองทุน (Fund Service Platform) สำนักงานขอนำส่งภาพถ่ายประกาศจำนวน 2 ฉบับ เพื่อกำหนดหลักเกณฑ์ การให้ความเห็นชอบผู้ให้บริการระบบสนับสนุนงานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและ การ
Exchange Commission No. SorThor/Nor. 19/2550 Re: Application Form for Approval of Agricultural Futures Trading Business by Operators of Derivatives Business _____________ By virtue of the second paragraph of