Securities and Exchange Commission Governing Rules, Conditions and Procedures for Approval of Property Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and

information, the management company shall also update the list on its website within fourteen days from the date of change. Chapter 3 Person Listed in the Register of Person Qualified to be Fund Manager

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 business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of

obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for

(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3 . Derivatives broker shall

Exchange Commission hereby issues the following regulations: Clause 1. The Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 34/2549, Re: Additional Rules for Approval of Fund

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

longer provide service for securities company . Clause 8. Securities company shall require service provider to keep, complete and update documents and evidence of service provider. Such keeping shall be

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