. 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
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that foreign ETF is legally
banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities
such laws to undertake commercial banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company
MergedFile Page 1 of 8 Form 35 – NRI CIS Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
ETF operator are subject to supervision of foreign regulator which is a member of International Organization of Securities Commissions (IOSCO); (2) having objective to create return for unit holders
Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37/2548 Re: Qualifications and
of an Executive of a Derivatives Business Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No