baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a

complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice

. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall

person acquires additional units, the total value of the units held when combined with the existing units shall be no less than ten million baht. The calculation for the total value of the units held in