this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person

doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the KYC/CDD process that the client is involved with the committing of predicate offence or money

สิทธิ) ( Viewer (สอบถามสถานะรายการ และ download แบบรายงาน) ( Maker (สิทธิเทียบเท่า Viewer และสามารถสร้าง/แก้ไข/ลบแบบรายงานที่อยู่ระหว่างจัดทำได้ โดยให้มีผลตั้งแต่วันที่

measures when an error is found and preventative measures to prevent the reoccurrence of such error. 3.3 Back Office Supporting System 3.3.1 Establishment of Funds and Preparation of Prospectus Objective A

is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the

___________________________________ As at (date) __________________________ Part C: Market Maker (MM) of Foreign ETF in Thailand 17) Name of Market Maker: _______________________________________________________________________ Address

report should be submitted to the board of directors, the executive board or any designated committee; (2) improving the operation according to the suggestions or issues detected by the compliance unit or

investors having the same characteristics as persons under sub clause (a) to (q) mutatis mutandis . (3) “ market maker ” means any person registered as market maker with a derivatives exchange to provide

ข้างต้น ที่ลิงค์ https://market.sec.or.th/EXAM/EXAMRegister.aspx เรียบร้อยแล้ว โดยให้สิทธิ (เลือกได้เพียง 1 สิทธิ) ( Viewer (สอบถามสถานะรายการ และ download แบบรายงาน) ( Maker (สิทธิเทียบเท่า Viewer และ

depositing or investing in certificate of deposit under Paragraph 1(1) of clause 7, the derivatives broker shall use rating of issuer of certificate of deposit, maker of promissory note, drawer of bill of