knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
: ............................................................................... 8. Performing of audit work ( Full-time time used for performing audit work per week ........................ hour(s) ( Non-full-time time used for performing audit work per week
securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged
qualifications and shall not possess any of the prohibited characteristics as follows: (1) being able to perform his duty full time for the Office; (1/1) 6 not reaching the age of sixty years on the appointment
product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity from graphs, technical analysis concept and scenario test. Clause 3 The