general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

system ready for keeping assets into its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian

demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the

operating fund supervisor business, at least the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of

failure of computer systems used for trading securities by companies which are members of the Stock Exchange of Thailand. If the incident results in no ability in recording an offer for trading come from

. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock

Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose

business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it to operate as a