/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company
The SEC is proposing to amend the regulations regarding funding portals to implement a more suitable and effective system for screening or evaluating the credibility and risk level of crowdfunding
(Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch
outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section 106) |- Accounting and Financial Statements (Section 105
Printable Format - Laws and Regulations Securities Borrowing and Lending |- Fees (section 14 and 19) |- Major Shareholders |- Branch Office |- Net Liquid Capital (section 97) |- Capital Reduction
| - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents | - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section
Shareholders Fund Manager Mutual Fund Supervisors Custodians Auditors Business Engagement Business Engagement Business Engagement Fees (section 14 and 19) Major Shareholders (section 90 and 91) Branch Office
amount of HKD 500,000.- or Baht 2,033,500.- (Exchange rate : 4.067 Baht / HKD) to Bangkok Bank Plc. (Hong Kong branch) …/2 Translation - 2 - The company hereby reports to the SET accordingly. Faithfully