Thailand (No. 3) dated 15 October 2013. Clause 3 In this Notification and the Application Form for an offer for sale of newly issued securities as stipulated by this Notification: “securities” means the
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
from 16 February 2018. Clause 2 In the application forms and the registration statement as prescribed in this Notification: “institutional investor”, “ultra-high net worth investor” and “high net worth
of any service required property for assurance; (3) other information which include the following information: (a)( financial status and asset profile in case of any https://publish.sec.or.th/nrs
International Banks, the Thai Life Assurance Association, and investment unit selling agents. This is the first time that the single form will be used for opening an investment account for capital market products
include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and
representative (if any); (2) information pertaining to ability to repayment and the source of income used for repayment as well as collateral in case of any service required property for assurance; (3) other
business operator in the category of derivatives broker, derivatives dealer and derivatives advisor shall submit an application for registration in the form 16-4 and documentary evidence annexed to this
operator in the category of derivatives broker, derivatives dealer and derivatives advisor shall submit an application for registration in the form 16-4 and documentary evidence annexed to this Notification
company stated in sub clause (1). Clause 5 The company as mentioned in Clause 4, shall submit the application form attached to this Notification to the SEC Office together with the relevant evidentiary