clients. Clause 4. Derivatives broker who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of

Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of

Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business

and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment

For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission

and APEC Asia Region Funds Passport shall take effect, mutatis mutandis, to the extent that they are not inconsistent with or contrary to the provisions prescribed herein. Chapter 2 Application for

filing of mutual funds The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents

SEC’s website at www.sec.or.th and SEC Check First application. Additionally, the list of individuals or entities not regulated by the SEC is available at the Investor Alert Section on the SEC’s website

, required to offer and sell newly issued securities by the Rehabilitation Plan, with an exemption from submitting an application for approval to the SEC, providing further that the Company must comply with

shareholders must comply with the regulations specified in the Notification of the Capital Market Supervisory Board No. Tor Jor. 34/2551 Re: Application and Approval for Offering for Sale of Warrants and the