for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
the SEC as being necessary to rectify the condition or operation of the securities company; (c) in the case where an appointment is made in accordance with Section 145; (d) in the case where the holding
company or when the order of the SEC or the Office has come into force, shall be exempt from filing reports for all categories, commencing from the month in which the business operation ceases or is
risk haircuts with respect to undertaking securities business or any other operation of a securities company ; (8) “ collateral ” means total sum of pledged assets for exposure to derivatives according
hedging 3. position of each types of goods or variable 4. position of each counterparty 5. position that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange