terminated on the effective date of the revocation of approval. Clause 5. When the grant of approval of the SEC Office for appointment of an executive of the derivatives business operator is terminated due to
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008), at the meeting no. 6/2009 held on 13 May 2009 resolved to grant approval for securities companies to
Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to
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
for safeguarding their user IDs, passwords, and any personal information that may be potentially used to request a change of the user IDs and passwords. 5.4. System and Application Access Control
approval according to the forms and procedures provided in the Office’s electronic work system. The Office will grant an approval only when comply with the following conditions: (1) the applicant have