Subject to Provisions on Public Offering of Securities shall file an application for such examination together with the following documents and evidence: (1) Documents on establishment of foreign ETF as
: _____________________________________________________ Home Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that NRI CIS is legally established
) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
5644pe.doc documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence representing the rights to the property of a https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate