) Enter into a new custodian agreement; (2) Renew the existing custodian agreement; (3) Other acts specified by Notification of the Office. Clause 11. The custodian granted with an approval under this
agreement; 4. a shareholder of a securities issuer in proportion to existing shareholding (rights offering); 5. a shareholder of an issuer of bonds which are issued to renew existing bonds; 6. any other
management process; (d) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved and inspected by the SEC
repayment ability and the trading limit of each client on a regular basis. Clause 28 The derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and
business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations
-date, as well as revise the ability to pay debt and total exposure of each client on a regular basis. The securities company must retain the related documentary evidence as prescribe in the first
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights