necessary duties as prescribed by the Office. The management company shall appoint a person responsible for maintaining the electronic system under paragraph one. Such person may be an officer from the head

; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

million baht at the head office for at least one year as from the closing date in a manner that the offeror would be able to promptly present to the SEC Office upon request. Clause 4 The issuer of

disclosed, the holders of the securities who have purchased the securities within one year from the effective date of the Registration Statement are entitled to claim damages from the issuer or the owner of

. In addition, such hybrid securities shall have one of the following characteristics: 1. hybrid securities issuer having the rights to postpone or exempt debt payment, or the rights to postpone or

each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall