Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
-General Office of the Securities and Exchange Commission In support of the application for approval of the Office of the Securities and Exchange Commission submitted by ………[FULL NAME OF APPLICANT
Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and
regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the
site (if any), whereby the alternative site is able to support an operation immediately or within a specified period. Addtionally, companies should test the BCP by cooperating with relevent agencies
intend to apply for approval for investor contact. Clause 7. The approval for investor contact is given for two-year period, the first approval takes effect as from the approval date and the two-year
approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its