; (2) Suspend the approval to be a custodian for the certain period of time or under the specific conditions; (3) Revoke an approval to be a custodian, and the Office may use such information for the
___________________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions relating to the restriction of the rights and liberty of persons which Section 29 in conjunction
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
Exchange Act (No. 2) B.E. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29
) B.E. 2551 (2008) and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to restriction of rights and liberties of
(2008) and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to restriction of rights and liberties of persons which
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of
Captial Market Supervisory Board Re: Temporary Rules on Business Operation of Specific Intermediaries And a Certain Type of Derivatives Intermediaries shall maintain the capital in accordance with Paragraph
(2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29, in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43