) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from
approval shall be Baht 15,000 per application providing that the first installment of Baht 5,000 shall be made to the SEC Office on the date of filing of application and the residual payment of Baht 10,000
and Exchange Commission 25/2545 28/03/2002 16/04/2002 Report/Form (Notification of Securities and Exchange Commission) Form 90-17 Application for an Approval on Establishment of a New Limited
Office of the Securities and Exchange Commission SorThor. 25/2542 Re: Application for an Approval of Branch Office (No. 2) 25/11/1999 02/12/1999 6. Notification of the Office of the Securities and
Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees
(Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed
/ Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered
://publish.sec.or.th/nrs/4317pe.doc Readers should be aware that only the original Thai text has legal force and that this English trans office or a full-service branch office for approval; (3) accept or deliver money