Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that NRI CIS is legally established under the law of
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
information electronically to the SEC Office; 1 . 3 We agree to abide by the fact that the information which is deemed to have been submitted electronically by us under 1 . 2 can be referred to as evidence in
persons has the duty to submit information electronically to the SEC Office; 1 . 3 We agree to abide by the fact that the information which is deemed to have been submitted electronically by us under 1 . 2
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
under other laws where the establishment of a branch office of such company shall be made under such laws as specified under the third paragraph of Section 92 of the Securities and Exchange Act B.E. 2535
is a financial institution established under other laws where the establishment of a branch office of such company shall be made under such laws as specified under the third paragraph of Section 92 of
. In the case where the SEC Office considers that an applicant has properly and fully met the requirements under Clause 3, it shall submit the matter to the Securities and Exchange Commission for