-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company

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

” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund

appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as

Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management

) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private

government bond or other assets as notified by the Office. The calculation of collateral value shall be made in accordance with the notification of the Office; (2) the deposition of collateral which is

capital management; (c) securities borrowing and lending; (d) inter-dealer brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the

Regulations on Securities Borrowing and Lending _________________________ Clause 18 In cases where an intermediary is a representative of a securities borrower or lender, the intermediary shall prepare an

brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond