Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) 01/02
Commission) Form 104-1/OrPor 24-1 Application for an Approval of Appointment of Person as an Executive of the Securities Company or the Derivatives Business Operator (Form as of 1 July 2006) 13. Report/Form
apply to any undertaking with respect to the following matters, mutatis mutandis. (1) application for approval, granting approval, and conditions in granting approval of trust managers; (2) cessation of
concerning offerings of covered funds in the same manner as offerings under ASEAN CIS and ARFP, mutatis mutandis . · In the case where a covered management company in Hong Kong no longer wishes to offer a Hong
Companies shall comply with the provisions concerning offerings of covered funds in the same manner as offerings under ASEAN CIS and ARFP, mutatis mutandis. - In the case where a covered management company in
of which significantly affect corporate operating results in terms of profit-loss or liability in each accounting period. After filing the application for fund establishment, additionally, proposed
force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the tables attached hereunder: “intermediary” means a securities company or a derivatives
. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not include a financial institution under other
come into force as from 1 May 2008. Clause 2. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not