category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This Notification shall apply to securities underwriting made for a securities offeror who is obliged

Notification shall apply to securities underwriting made for a securities offeror who is obliged to file the registration statement and draft prospectus with the SEC Office. Clause 3. A securities underwriter

securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2 This Notification shall apply to securities underwriting made for a

category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2 This Notification shall apply to securities underwriting made for a securities offeror who is obliged

)(c) shall not apply to a closed-end fund of which investment units are securities listed on the Stock Exchange and the correct investment unit value has been announced according to the regulations or

of persons having the following qualifications intends to apply for a license under regulatory sandbox , the group of persons shall submit an application form under the regulatory sandbox to the SEC

the following qualifications intends to apply for a license under regulatory sandbox, the group of persons shall submit an application form under the regulatory sandbox to the SEC together with

required if the applicant has submitted the SEC Office’s letter of acceptance for the audit firm to allow the applicant who is an affiliated auditor to apply for approval via the fast track system. 3

specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed in the register of person qualified

appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that (Translation) -4- such applicant does not intend to apply for an approval to be