or altered for operate in the true condition. Compliance Guideline 1. operational procedure determining · Providing a written procedure or compliance guideline for operational system development or

shall have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall

Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Businesses For Which an Approval Is Required. (2) having a procedure for providing

Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform

financial instrument of the company with financial instrument of other business, subject to a condition beneficial to the company. 9. Property, plant and equipment means tangible assets under all of the

handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous

businesses of the majority shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on the said

document and evidence, including considering of investment objective of the customer, knowledge, understanding and experience in derivatives trading, financial condition, and debt repayment capability of

agricultural derivatives business license on the condition that the applicant has the following qualifications: (1) having a minimum paid-up capital of fifty million baht, unless the applicant is a juristic

assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the