or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the
other securities business, it shall be deemed that the company has been permitted by the Office to establish a branch office to provide private fund management services for customers. Clause 4. In
standards of services of the management company, in appointing a representative under Clause 2, the management company shall proceed as follows: (1) having an agreement, in writing, for appointment of a
trading and providing of derivatives services by the securities company issued by virtue of the Securities and Exchange Act B.E. 2535 (1992) and such derivatives broker possess qualifications specified in
of company, its shares shall be directly held by the Ministry of Finance more than 50% of the total number of voting rights; (2) being able to provide money services on deposits, withdrawals, transfers
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Income 1.1 Brokerage fees 1.1.1 Brokerage fees from Securities business 1.1.2 Brokerage fees from Derivatives business 1.2 Fees and services incomes
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and