notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

dishonest intent: O Yes (please specify) For example, the final judgement of the court …...…………….….., Lawsuit case, Black No. .…..…/25.. and Lawsuit case, Red No. ...……/25.. Between .…………….………. and

accepted by the Office* 1 A bachelor’s degree or higher Work experience in Thailand or foreign countries for a total period of not less than 2 years during a period of 5 years prior to the application date

) or (3) to (10); (3) the government sector and state enterprises under the law on budgeting or other juristic persons incorporated by a specific law; (4) the Thai Red Cross or other foundations for the

Degree : [  ]  Lower than Bachelor Degree [ ]  Bachelor Degree and higher Major : Name of Institution : Related academic background in case of member of audit committee (Bachelor Degree or higher

two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational institutions accepted by the Office during the past two calendar years prior to expiration of

__________________________________________________________________ 3.2 ระบบป้องกันและตรวจสอบการลงทุนเพื่อบริษัทหลักทรัพย์โดยไม่ได้รับอนุญาต (unauthorized proprietary trading) 4.2.1 มีการกำหนดลักษณะธุรกรรมสุ่มเสี่ยง (red flags) เพื่อการติดตามตรวจสอบอย่างใกล้ชิด ( มี

evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the

Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher during the latest two calendar years prior to the

Office, or any other higher standards approved by the Office; (b) the limit of derivatives position (position limit) held by the company at any time considering from: 1. total position 2. position without