business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it to operate as a

Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

, unless permission has been granted by the Office to open or close its office at any other hours or days.

the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund

Exchange Commission. Clause 3. The following securities companies shall pay fees to the Office at the rate of one percent per annum on their income, but not less than Baht two hundred thousand and not

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This