granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application

Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht

securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or

securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly

country, identify the name of such stock exchange and whether or not it is the main stock exchange. 5.5 Financial institution with regular contact (only in case of debt securities offeror) Part 2 Corporate

regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case there is an occurrence affecting the preventing

Thong-ek Law Offices Limited.. Owing to the fourth amendment of the Securities and Exchange Act which comes into force in B.E. 2551 (2008), the fifth amendment of the Securities and Exchange Act which