: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
are traded in the aforementioned stock exchange? Yes No If yes, Please specify the years of experience Please provide the name and details of the listed entities that you have been an auditor in the
Services Clause 7 In providing services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide
services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each
listed securities : (1) the client agrees to notify and provide the following information, and clarify such information in detail [i] to the intermediary, the Stock Exchange of Thailand, the Securities
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of
” assessment results in the part relating to auditing? Yes No Have you ever been inspected the audit quality by the audit oversight authority? Yes No If yes, please provide us the latest results of the
agrees to notify and provide the following information, and clarify such information in detail [i] to the intermediary , the Stock Exchange of Thailand, the Securities Depository, the securities registrar