types of securities businesses throughout any calendar year, the licensee shall pay only the minimum fee as specified under Paragraph 1, except that the licensees in the category of debt securities dealer
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2 Notification of the Securities and
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the
following characteristic: (1) An offer for sale to the investors under Clause 21(1), in cases where the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds
ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
appointment of an authorised person of CIS Operator ( issued by CIS Operator ) [ ] 6. Master fund’s prospectus and fact sheet/ product highlight sheet (required only for an application of a feeder ETF) 7. A fee
of an authorised person of CIS Operator (issued by CIS Operator) [ ] 6. Master fund’s prospectus and fact sheet/ product highlight sheet (required only for an application of a feeder ETF) 7. A fee of
01/03/2017 2. Notification of the Securities and Exchange Commission KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer
agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “ major shareholder ” means a