trends, changes in market/industry environments, and internal factors such as policies, strategies, management, changes in business agreements with potential impacts on the operation, as well as other

-third of the maximum capacity of the infrastructure business , unless it can be demonstrated that an excess of such proportion is in accordance with the nature of the industry of such infrastructure

) “Industry Association Guidelines” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry

financial ratios. In the case of the Company in an industry with specific ratios such as an average occupancy ratio (in case of hotel business), such ratios must be presented additionally. Information Quarter

guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4

identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices

firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm

Person of the authority Business Address of the authority Website of the authority Telephone number of the authority E-mail of the authority Is the audit oversight authority you registered with a member of

Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains

Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office