. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 43/2544 Re: Rules, Conditions and Procedures for the Approval of
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
” means the amount of money which a management company receives from selling units and is registered with the SEC Office; (17/1)8 “ auditor ” means a certified public accountant who has obtained an approval
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) PAGE (Updated 2017) photo size 1 inch (taken less than 1 year) 2. Background and Details of Applicant Requesting Approval 1. First and last name of