guidelines for management of companies in the financial conglomerate including the securities company which submits a request for an exemption such as policy manual, procedure manual and compliance manual; (3
licensed agricultural derivatives business operator in the first paragraph submits for the license after 1 November 2016, such licensed operator shall have the paid-up registered capital of no less than 50
management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation
period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless
the services prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to
the period in continuation of the period approved under the Notification No. SorKhor. 25/2547. Clause 15. The applicant for approval for investor contact who has qualifications and submits the
prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to the SEC Office no
Licensing Manual for the Public. Clause 13 An intermediary who submits an application for approval under Clause 12 shall be granted an approval on the condition that a service provider has the qualifications