; (c) types of derivatives eligible for trading in the service providing system, including limitations or conditions of each type of derivatives; (d) news and information related to the operation for

public; (d) news and information related to the provision of services to service users. Clause 5 The SEC Office shall examine the qualifications of the applicant for a license under regulatory sandbox and

Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company

Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be

Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for

Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board

No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the

increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to

, so that the fund supervisor will certify the information contained in such report by the business day following the date on which the management company has submitted such report to the fund supervisor