agreement in Clause 6 within five business days as from the date of receiving such information and certification. Clause 11. Securities company shall supervise its personnel to comply with this Notification
required to notify the SEC Office in advance at least five business days before opening the branch; 2. In case of representative office abroad, the SEC Office shall notify the result of the deliberation
seventy-five percent of the total sold shares of certain company, whereby such company obtains a permission from the SEC to undertake business in the category of back office service as specified in Section
are as follows: (1) The Stock Exchange of Thailand or; (2) Limited company or public limited company established by the Stock Exchange of Thailand and hold shares not less than seventy-five percent of
not less than seventy-five percent of the total sold shares of certain company, whereby such company obtains a permission from the SEC to undertake business in the category of back office service as
derivatives brokerage business license fee shall be five hundred thousands (500,000) baht per license. The license fee shall be paid by the licensee on the date when it receives the license. Clause 9. This
application; (2) Gold derivatives brokerage business license fee shall be five hundred thousands (500,000) baht per license. The license fee shall be paid by the licensee on the date when it receives the
assets or variables as specified in a derivatives contract, as well as other evidence relating to customers’ derivatives trading, shall be kept for a minimum period of five years from either the
within five business days as from the date on which the SEC Office receives the application, supplementary documents and letter of certification which are complete and accurate. In cases where the SEC