statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a

. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date

liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the

” 3 means a fund established for employees of multiple employers. “wages” means the money paid by the employer to the employee as remuneration for working, whether determined, calculated or paid as the

rules as specified in the notification of the association approved by the Office. In case any derivatives contract of which the calculation on method has not been determined by the association, the

at a fixed rate in porportion to the operating months (monthly pro-rate). Clause 5 The licensees of the following licenses shall pay a varying fee based on the business volume at the rate specified for

channel of any government bond or bond guaranteed for principal and interest by the Ministry of Finance and redempted by holders with specific or minimum price determined as of the issuing date does not

balance และมีการแบ่งแยกอำนาจหน้าที่ชัดเจน เป็นลายลักษณ์อักษร และปฏิบัติตามการแบ่งแยกขอบเขตอำนาจที่กำหนดไว้ ทั้งนี้ การพิจารณาระบบการควบคุมภายในให้รวมถึงบริษัทย่อยทุกบริษัทที่มีสัดส่วนรายได้ (ไม่ต้อง pro