your local intermediary, local representative or CIS operator. The copy of this registration statement has been registered by the Office of Securities and Exchange Commission. The effectiveness of this
authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS full Registration Statement for an offer
intermediary, local representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and Exchange Commission. The effectiveness of this registration
the case where the units of the foreign ETF are listed on more than one exchange, the term shall mean the exchange specified by the foreign ETF as the home exchange; “CIS operator” means a person who is
manager; (d) investor contact; (4) “personnel in derivatives business” means any person who performs duties for the benefit of the derivatives business operator or who is related to the derivatives business
/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made