opinion of an independent specialist on the technology used in the infrastructure business (technological feasibility) if that technology has never been adopted in Thailand or is an advanced technology that

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

has been lately submitted and effective: ( Form 69 – CIS full (effective date on _____________________ ) ( Form 69 – CIS annually update (effective date on _____________________ ) ( Form 69 – CIS

have been known, but not exceeding 2 years from the effective date of registration statement. Please choose the following form that has been lately submitted and effective: ( Form 69 – CIS full

License to Provide Services as Securities Registrar (No. 6) dated 24 April 2017 (effective on 16 May 2017). ( Amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 32/2546 Re

.” Clause 2. The derivatives advisor who provided services for customers prior to the effective date of this notification shall arrange to have an agreement in writing relating to the settlement of disputes

securities business license in the category of investment advisory service or a securities business license type C , as the case may be, the derivatives business license so issued shall become effective when

License (No. 2) dated 5 April 2017 (effective on 16 April 2017). 1 As repealed by the Notification of the Securities and Exchange Commission No. Kor Thor. 14/2560 Re: Application for the Agricultural

brokerage of debt securities or investment units, shall have paid-up registered capital of not less than five hundred million baht, effective from 1 January 2012 onwards. Clause 3. The securities company

encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced