act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the
auditor approved by the Office for such accounting year. For the benefits of proceeding in accordance with such provisions, the Office of the Securities and Exchange Commission hereby prescribes guidelines
). Clause 2. The auditor who is approved by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor , and is eligible to do auditing and put his or her
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor. 19/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
settled by means of arbitration and the following procedure the customer is able to proceed with in case of unsatisfactory results provided by the derivatives broker; (4) preparing a summary report in