granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
) มาตรการ/เครื่องมือที่จะช่วยในการลดความเสี่ยง · ในกรณีที่จำเป็นจะมีมาตรการ/เครื่องมือที่ใช้ช่วยลดความเสี่ยงได้อย่างไร เช่น netting agreement หรือ credit enhancement ต่าง ๆ เช่น การจัดให้มีหลักประกัน หรือการ
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
system, list of names and telephone numbers of related persons including the preparation of necessary resources that may be used in the event of unusual situations. 4. Having revision and improvement of
Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited
cumulative voting whereby the investors allocate their votes to different nominees pursuant to the law on public company limited, or the majority voting method is used whereby a nominee must obtain more than