Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
in the Category of Investment Advisory Service B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing
with a client that is a provident fund or the Government Pension Fund; (5) In the case of a margin loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement
any debt securities or in default on a loan payment. 5. Not being in breach of the terms and conditions of the debt securities. Face value of bills Not specified. 10 million baht or more. 10 million
-existing facts. 6. Complete disclosure of information in accordance with the prescribed form. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8
) (Notification No. SorThor. 55/2546) To be filed within 14 days of the following month. Monthly Report on Margin Loan to Clients (Form Bor.Lor. 5/1) (Notification No. SorThor. 55/2546) To be filed within seven
business. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Not being in breach of the terms and conditions of the debt securities. 9. Features and
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
Notification of the Securities and Exchange Commission No. GorJor. 16/2561 Re : Criteria, Provisions, Procedure for Approval of an ICO Portal Service Provider dated July 3, 2018 ( Effective as of July 16, 2018