the times that accept the user for entering incorrect password. For the general practice, it is not exceed three times. · providing a method for deliver the password to the user strictly and safety such

or less than 1.5 times of the minimum amount of net liquid capital which a securities company shall maintain, a securities company shall file the report of net liquid capital calculation of such day

recorded from the use of critical information systems . Logging descriptions Category of logs Minimum Logging Details Minimum Period of Retention Physical Access Logs Name of access persons, Dates, Times and

allowed for derivatives trading under Clause 8 and Clause 9 shall maintain its qualifications according to Clause 6 at all times when such derivatives broker trades derivatives for its proprietary account

-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools for

_____________________________________________________________________ 7. I/We affirm that at all times I/we have officers with the relevant qualifications specified in section 6 of the Passport Rules (Annex 3) of the MOC, and meet the financial resources test and the

custodian under this Notification shall maintain the qualifications as specified for all times. Clause 5. An application under Clause 4 shall be prepared in form with supporting documents as specified by the

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

times. In case the representative fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without delay. Clause 13 A management company

company selects the total net balance at the end of present working day as a base, the securities company shall continually use such method for calculation at all times, except in case of necessity where