submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial
issuer. Clause 5/1 In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and complete qualifcations as specified, the Office shall propose the case
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives broker received from
derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives broker received from a client for clearing
in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s derivatives
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
capable of providing timely access to information. Clause 16 In offering structured notes that the repayment is fully or partially made in form of a physical delivery of shares, the underlying shares shall