innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a

of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that

accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the

evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or

trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and

under the method of margins calculation prescribed by the derivatives exchange. Clause 4. In acting as a derivative agent in a derivatives exchange, the derivatives agent shall: (1) call for its clients

Including the profit margins in the associated companies based on the equity method. 3 Describe the nature and proportion of other incomes. In this regard, each significant income shall be displayed in a

การให้บริการ (innovative financial services) ซึ่งสามารถช่วยแก้ไขปัญหาหรือพัฒนาการให้บริการในตลาดทุนไทย หรือเป็นประโยชน์ต่อ ผู้ลงทุนไทยหรือตลาดทุนไทย (2) มีความพร้อมในการเข้าร่วมโครงการทดสอบในเรื่อง

the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for