, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from
premises with other people, the management company shall proceed as follows: (1) arrange to have space for the branch office to serve customers and to store documents separated from space that other people
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
. for the purpose of compliance convenience and render efficiently controlling for accessing the importance computer devices. Moreover, it should be separate the zone that officer from various division
systems and application software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or