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 _____________________
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and
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
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
การให้บริการ (innovative financial services) ซึ่งสามารถช่วยแก้ไขปัญหาหรือพัฒนาการให้บริการในตลาดทุนไทย หรือเป็นประโยชน์ต่อ ผู้ลงทุนไทยหรือตลาดทุนไทย (2) มีความพร้อมในการเข้าร่วมโครงการทดสอบในเรื่อง
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
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has