of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that

is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall

trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and

accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the

evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or

of the complaint. Such document and evidence shall be stored in the manner which is immediately available upon the SEC Office’s request for a review or an inspection for the first two years. Clause 4

maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year

innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a

system immediately, the custodian may notify to the Office and request for the outcome of the consideration before the period of fifteen days. Clause 9. In case where the custodian can not maintain its

การให้บริการ (innovative financial services) ซึ่งสามารถช่วยแก้ไขปัญหาหรือพัฒนาการให้บริการในตลาดทุนไทย หรือเป็นประโยชน์ต่อ ผู้ลงทุนไทยหรือตลาดทุนไทย (2) มีความพร้อมในการเข้าร่วมโครงการทดสอบในเรื่อง