: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that foreign ETF is legally
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally
Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the
borrow the securities from the customer or to lend the securities to other persons, the business operator must have a 3 As amended by the Notification of the Securities and Exchange Commission No. KorThor
” means the Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its
Securities Company or the Derivatives Business Operator (Form as of 1 July 2006) 19. Report/Form (Notification of Securities and Exchange Commission) Form 90-23 Application for a License to Undertake
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
of the Securities and Exchange Commission Kor Thor. 11/2553 Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer (Codefied) 15/07/2010 01/08