Clause 7. Clause 3. The derivatives brokers shall establish branch office only after obtain an approval from the Office according to rules prescribed herein. Chapter 1 Full-service Branch Office and Online

. Details of the applicant (pursuant to Clause 7 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting of Approval

Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of

/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange

starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by

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

Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the