. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
least. [A] ▪ Backup Information and frequency of preservation ▪ Media ▪ copy ▪ Procedure and method in detailed ▪ Place and method of media storage o Providing a log book of information preservation that
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Securities and Exchange Commission No. Sor Shor. 26/2558 Re: Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards
placed as collateral or for repayment in derivatives trading. 7 Clause 23. Prior to opening an account or commencing derivatives trading with a client, the derivatives broker shall put in place a procedure
: Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (As Amended) By virtue of the Section 9(1), Section 121, Section 122 and Section 124 of
trading at the intermediary’s place of business for a period of not less than five years from the date of investment in a manner that supports an inspection by the SEC Office without delay. Chapter 2