of the use of securities business for money laundering and financing of terrorism that could damage the reputation of intermediaries. Regarding the Know-Your-Client/Client Due Diligence (KYC/CDD
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
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
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
operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of
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
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