for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules

being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver

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

to property. [ ] Yes [ ] No (3) I am the person whose property has been ordered by the court to devolve upon the State in accordance with law on counter corruption, law on prevention and suppression of

is not ordered by the Office to rectify serious fault in its operating system or to refrain from establishing any new branch office; (7) the management company shall demonstrate that the following

maturity; (4) investing in bill of exchange or promissory note that ordered payment or issued by a commercial bank or other banks established under specific law or securities company licensed to undertake

shall have power to order the investment advisory company to act, amend or refrain from any act. In the case where the investment advisory company is unable to act, amend or refrain from any act ordered

Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34

transferring before maturity; 4. investing in bill of exchange or promissory note that ordered payment or issued by a commercial bank or other banks established under specific law or securities company licensed

be repealed. Clause 2. In applying for approval and renewal of private fund custodian, an applicant shall submit an application in accordance with Form 135-1 together with supporting documents as