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
Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a
Notification of the Office of the Securities and Exchange Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint
for approval of persons who are major shareholders; “Office” means the Office of the Securities and Exchange Commission. Clause 3. For the purpose of implementation of the third paragraph of clause 5 of
objectives of investing in assets concerning infrastructure, property or property development business. In this regard, the establishment of such collective investment scheme shall be granted an approval for a
bank under the law on commercial bank business. (Translation) -2- Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3. Derivatives broker shall use derivatives investor
(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. (Translation) -2- Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3
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
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in