without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation: □ No □ Yes, please specify the

form through the business operator reporting system in accordance with the SEC Office of the Securities and Exchange Commission’s rule on the electronic data interchange, unless otherwise permitted by

29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation

submit the financial statements through the derivatives business operator reporting system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 5

shall deposit such assets and deposit money to secure payments of related costs at the deposit office according to the law, regulation, and rule on property deposit. The liquidator shall also submit

the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3

1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and

อำนาจในการจัดการของบริษัท ซึ่งอย่างน้อยต้องประกอบด้วย ( หลักปฏิบัติในการซื้อขายหลักทรัพย์ของผู้ให้คำแนะนำ และบุคคล ผู้มีอำนาจในการจัดการของบริษัท (staff dealing rule) · หลักปฏิบัติในการซื้อขายหลักทรัพย์

system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 6 This Notification shall apply to financial statements with accounting periods

, the securities company shall submit such financial statement via the securities company report transmission system in accordance with the rule of practice of the Office of the Securities and Exchange