ขำย Online+P* หรือ Paperless ขออนุญาต Online+P* หรือ Paperless หมายเหตุ: P* : ส่ง hard copy เฉพำะหนำ้รบัรองควำมถกูตอ้ง Online : ส่งขอ้มลู online โดยใช ้username/password ระดบั ผอ.ขึน้ไป (แต่งตัง้ผำ่นแบบ

Online พร้อม upload เอกสารประกอบ เฉพำะกรณีไถ่ถอนก่อนก ำหนด / มีกำรใชสิ้ทธิให้ รำยงำนภำยใน 7 วนัท ำกำรนบัแต่วนัท่ีเกิดรำยกำร ส่วนกรณีไถ่ถอนเมื่อครบก ำหนดอำย ุระบบปิดให้ อตัโนมตั ิ หมายเหตุ: P* : ส่ง hard

appropriate as under the present circumstance, it is difficult to proceed with other funding methods and the chance of success is low. In addition, such offering price is the same price as the offering price in

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

paragraph, the intermediary shall proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who

Supervisory Board concerning Rules on Personnel in the Capital Market Business. For the appointment of the independent director under the first paragraph, the intermediary shall proceed completely before the

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a

shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as