is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
submitted to the SEC Office. Clause 4 The intermediary shall maintain the captial in the amount not less than the maximum rate of the following amounts: (1) one hundred thousand baht; (2) average quarterly
investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the
or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of
characteristics under the Notification of the Ministry of Finance shall be prohibited to be major shareholder within the following periods: The prohibited characteristics Level of seriousness of behavior Maximum
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
that the maximum loss of a buyer of options is limited to the premium, he/she is to pay the premium but is not required to make margin deposit. On the other hand, the seller’s losses can be unlimited
baht per year and not more than the maximum rate of 10,000,000 baht per year. In the case where a licensee has suspended the operation of all types of securities businesses specified under Paragraph 1 of
category of behaviors onto which a maximum period of consideration of the application for an approval to act as a mutual fund manager under Clause 12 hereof is up to one year, the Office may consider that
customer. Clause 20. Prior to opening of the account, derivatives broker shall consider pledging and debt repayment capability of the customer for the maximum level of derivatives position which the customer