Office of the Securities and Exchange Commission (SEC Office) In this Application, we Full name (in Thai) Full name (in English) Passport No. E-mail Address Mobile phone Status of the Applicant General
SEC Office may reject the application for approval under Part 2 or Part 3: (1) an applicant or an offer for sale of securities has the characteristics in compliance with the rules or conditions for
evidence: (1) certification letter and consent letter of the audit firm to which the applicant is attached which certifies and gives consent in the following matters, as per Form 61-2 which is available on
reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant ’s financial hardship, including not having any
an application to the SEC Office together with evidentiary documentation as specified by the Notification of the SEC Office. In this regard, the applicant would obtain an approval from the SEC Office
prescribed by the Office; (4) “applicant” means a person applying for derivatives business license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial
. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established limited company or public limited
) dealing in securities as specified in (3); (3) underwriting of securities as specified in (3). “applicant” means person applying for securities business license under this Ministerial Regulation