as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
shall be exempted from being regarded as derivatives business in the following categories during the period of such regulatory sandbox , but only within the units or departments providing services under
securities or derivatives in the amount of not less than twenty million baht, or not less than forty million baht when combined with deposit , according to the audited financial statements for the most recent
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In
the securities in accordance with Section 82 of the Securities and Exchange Act B.E. 2535 (1992) within one year from the date on which the fact that the Registration Statement contained false
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
sandbox , but only within the units or departments operating under regulatory sandbox . Clause 3 In the case where a person having the following qualifications intends to participate in a regulatory sandbox