, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC

) Certificate of company registration; □ (2) The copy of memorandum of association of the company which certified by the company-partnership registrar of the Ministry of Commerce; □ (3) The copy of article of

control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics

position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration certificate

Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory

://www.sec.or.th/secrgen/notice/off/practice/prac0147s1.doc

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

*....................................................….. (................................................……) แบบ EF–1 * หนังสือฉบับนี้ต้องลงนามโดยกรรมการผู้มีอำนาจกระทำการแทนนิติบุคคลเท่านั้น และให้ประทับตรานิติบุคคล (ถ้ามี) http://www.sec.or.th/secrgen/notice/off/practice/prac0147s1.doc

, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association

practice of such contract does not allow the party obliged to deliver goods to be released from the contractual obligations by closing out a derivative position. A contract having the provisions that require