Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
Notification of the Securities and Exchange Commission concerning Application for Support System Provider Offering Service Related to Investment Unit Trading and Fund Management. Clause 3 This Notification shall
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management; (2) “derivatives business license type Sor-2” means a license to undertake derivatives business
” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this
information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5