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Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By

with? E Staff Pressures – Internal: 1 How does the firm monitor and support staff in dealing with the pressures to meet deadlines/targets/recovery rates? 2 How does career progression work post

, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________

undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an

-General Office of the Securities and Exchange Commission In support of the application for approval of the Office of the Securities and Exchange Commission submitted by ………[FULL NAME OF APPLICANT

Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the

, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and