Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended
which keeps records of securities purchasing or selling transactions other than those recorded in a margin account ; (4) “ securities depository center ” means a securities depository center under the law
exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions
characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of
” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of matching orders or arranging for counter parties, or by way of providing a
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
Exchange” means the Stock Exchange of Thailand; “securities trading center” means the securities trading center under the law on securities and exchange; “Office” means the Office of the Securities and
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of