: .............................................................Juristic Person Registration No............................... head office located at

direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or

below, it shall install water leak sensor in the place where has installed a water pipe in order to suppress leak water instantly. Moreover, in case of the computer centre located in the place having risk

5.3 Number of investment consultants (if any): ...... Person(s) 5.4 Back office operation Located at a full branch office Sharing resources with a full branch office Located at

and derivatives business operators located in Narathiwat, Pattani, Yala, Satun and Songkhla provinces shall include Chinese New Year as well as Hari Raya Puasa (Aidilfitri Day) and Hari Raya Haji as

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

connection of the Code with the vision, objectives, goals or strategy which leads to creation of values in the organization, and clarify the process supporting the compliance of the Board of Directors, the

list or having an appraisal permission from the regulator of the jurisdiction wherein the asset is located; (b) in the absence of a list pursuant to (a) (a), the asset appraiser shall have any of the

, duties and responsibilities of the unit where a person is located; (d) detailed work practices of each person and the unit where the person is located, as well as work practices in coordinating with other

securities to the SEC Office within [the following] specified period by indicating the following details: (1) 15 days as from the end of each month having the offer for sale of debt securities. In connection