Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
) derivatives trading by the client has or may have an impact on the orderly trading of the derivatives exchange, or has caused or may cause the trading price to deviate from normal market conditions; (b) the
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or
Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This Notification shall apply to securities underwriting made for a