3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5

trading in derivatives contract to customer. Clause 8. The derivatives broker shall appoint a person responsible for managing the online branch office. Such person may be an officer from the head office or

responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall

work for such persons to have full or partial managing power in the securities company.

system provider specifically to only those who have granted approval under the notification concerning support system provider ; (5) service provider managing payment information for securities trading

characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2

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

risk เพียงอย่างเดียว หมายเหตุ กรณีเป็นกองทุนรวมที่มีนโยบายลงทุนใน structure note บริษัทจัดการจะต้องพิจารณาตำแหน่งของกองทุนรวม ซึ่งสามารถอยู่ระหว่างกองทุนรวม ตราสารหนี้ ถึง กองทุนรวมที่ลงทุนในทรัพย์สินทาง

…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the

company licensed to undertake securities businesses under the law on securities and exchange; (7) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing