the information. - The filing of information or preparation of documents shall be made in Thai and/or English; - The registration statement and draft prospectus shall contain at least the required
causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to its custody of clients’ assets for at least five years. Such information
improvement in its business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it
governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by such board of
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
futures, the investor should comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price
fund in accordance with the notification on investment, the prospectus thereof shall have at least the information on the date of approval to establish the mutual fund and the fact sheet of the fund
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized
movement due to the revenue is denominated in USD Expected Benefit Company expects that projects shall create the IRR of at least 10% 6. Benefits which the company will receive from the capital increase and