the clients as well; (9) “financial institution” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business 1 ; 1

) “financial institution” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business 1 ; 1 law on financial institution

first bilateral memorandums of understanding designating multilateral cooperation for digital transformation of the Thai capital market in line with Thailand 4.0 Blueprint, on 27 May 2019 at the SEC

required? If yes, please describe. 11 Does the firm's policies and procedures include the determination of the engagement team’s: • understanding of, and practical experience with, engagements of a similar

director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for

general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2

Securities and Exchange Commission SorNor 21/2553 Related Persons of Unitholders of Property Funds for Solving Financial Institution Problems, Mutual Funds for Solving Financial Institution Problems and

) Date (Oldest) Notification of the Office of the Securities and Exchange Commission SorNor 21/2553 Related Persons of Unitholders of Property Funds for Solving Financial Institution Problems, Mutual Funds

Securities and Exchange Commission. Clause 3. Applicant for an approval to be a custodian under Clause 4 must be a financial institution in any of the following categories : (1) Commercial bank under the law

Exchange Commission. Clause 3. Applicant for an approval to be a custodian under Clause 4 must be a financial institution in any of the following categories: (1) Commercial bank under the law on commercial