an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

intends to share the branch manager with other full-service branch offices such securities company shall submit the application together with document evidence showing the details of management plan and

broker intends to share the branch manager with other full-service branch offices such derivatives broker shall submit the application together with document evidence showing the details of plans for

.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be

clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of

(..........................................................) CPA No……......................... Issued by …………………………. Audit Firm Name ………………………………………………… Country …………………………………………………………… Document Checklists for Fast Track Applicants (Please mark X for all that

information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no