) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious metal derivatives brokerage ; (9

controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious

Notification is that it deems appropriate to offer opportunities for gold business operators with proper qualifications and readiness in term of financial and management capability to undertake derivatives

characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious transactions; (3) arrange to have proper

. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to

investors’ interest as well as provide proper and sufficient information disclosure to investors. By virtue of Section 9, Section 18, Section 31 and Section 41 of the Derivatives Act B.E. 2546 (2003), the

and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a

) ทั้งนี้ สำนักงานจะพิจารณาจากการมี สถานะ fit and proper ตามหลักเกณฑ์ของต่างประเทศ เช่น ยังคงดำรงคุณสมบัติการเป็นบุคลากร โดยได้เข้าอบรม refresher course เป็นต้น และยังคงสามารถปฏิบัติหน้าที่ได้ในต่างประเทศ