full-service branch office for such category of securities business, the Office shall permit the full-service branch office to also provide services for securities business in the category of private

company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The

(UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 13 June 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

UNOFFICIAL TRANSLATION Codified up to No. 6 As of 24 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4

checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform

, please provide us the result of quality review. 5 Does the firm establish the progression route within the firm out of training contract and how senior managers/directors/ partners promoted – what criteria

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it

ประกาศคณะกรรมการกำกับตลาดทุน UNOFFICIAL TRANSLATION Codified up to No. 3 As of 4 January 2013 Readers should be aware that only the original Thai text has legal force, and that this English

understanding of the requirements under HK-TH MRF MoU, the SEC hereby would like to clarify the details thereof and provide information on related practices as follows: 1. Objectives of HK-TH MRF MoU HK-TH MRF