financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
- nine percent of its total number of shares sold; (2) the newly established limited and public limited company shall be capable of undertaking securities business efficiently and in compliance with the
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between organization and worker of
. Clause 5. Securities company shall prescribe a measure protecting internal data access between organization and worker of securities company’s. Such measure shall, at least, having measurement protecting
capable, honest, and hard-working for long-term business success.
(Mr.Somkid Wekinvattanased) Director Announcer of Intention I have reviewed the information with due care and hereby certify that the person making the announcement of intention is truly capable of making the