opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

that have been or will be sold ; (2) to enable the borrower or other persons to return the securities previously borrowed; (3) to enable the borrower or other persons to fulfill any obligation in

regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital

obtained more than one license, the licensee shall pay the total fees of all licenses together. In this regard, the payment obligation shall only apply to the licenses that have been activated. Clause 5 The

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

system for obligation repayment under derivatives and delivery of the underlying goods under derivatives (if any) by an approved person for operation under a regulatory sandbox in the same manner as a

as specified in the Securities and Exchange Act B.E.2535 (1992) , the Trust for Transactions in Capital Market Act B.E. 2550 (2007), and the Notification of the SEC Office regarding Approval of

(writer) of options receives premium from a buyer and is bound to perform his obligation should the buyer exercise the options. The seller is required to make margin deposit. Upon the buyer’s exercise of

structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial