. 4) B.E. 2557 8 Chapter 2 Application of License and Issuance of Securities Business License Clause 12 The applicant shall file an application with the SEC Office in accordance with form and procedure
a procedure for seeking an approval from the board of directors of the intermediary or the committee assigned by the board of directors thereof before proceeding with such subcontracting. (5
approval from the SEC office under Clause 12; (b) there shall be a procedure for seeking an approval from the board of directors of the intermediary or the committee assigned by the board of directors
approval from the SEC office under Clause 12; (b) there shall be a procedure for seeking an approval from the board of directors of the intermediary or the committee assigned by the board of directors
derivatives business operator shall submit an application for approval to the Office of the Securities and Exchange Commission together with supplementary documents in accordance with the form and procedure
operator shall submit an application for approval to the Office of the Securities and Exchange Commission together with supplementary documents in accordance with the form and procedure provided in the SEC’s
accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the
Board of Directors’ meeting held each quarter. Measure or procedure on approval of inter-transactions For such inter-transactions considered significant, the company followed its policy in proposing such
and procedure as stipulated by the Notification of the SEC Office. An application submitting under Paragraph 1 shall be jointly prepared by a financial advisor whose name appears on the SEC Office’s
the period of time specified by the fine fixing committee, such case shall be regarded as settled under the provisions of the Criminal Procedure Code. If the alleged offender refuses to pay the fine or