--------------------------------------- Clause 5. Derivatives broker shall set organization structure, policies and scopes of duties and responsibilities including business operation of working units related to undertake derivatives brokerage

Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well

Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent matter which substantially affect the intermediary

intermediary , in order to monitor the compliance with this Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...