Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

units without high-risk or complex characteristics issued and offered for sale in an ASEAN country; (c) debt instruments without high-risk or complex characteristics issued and offered for sale in an

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall appoint a

country fund หมวด 7 หลักเกณฑ์เพิ่มเติมของLTF หมวด 8 หลักเกณฑ์เพิ่มเติมของ ETF หมวด 9 บทเฉพาะกาล หมวด 1 บททั่วไป ส่วนที่ 1 หลักเกณฑ์ทั่วไป ส่วนที่ 2 Proxy Voting ส่วนที่ 3 การจัดทำและส่งรายงานต่อสำนักงาน