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

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

an approval in Part 2 and the submission of the registration statement and draft prospectus in Part 4; (b) the CLMV company shall comply with the rules related to an approval in Part 3 and the

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

Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by the

) 25/2550 Re: Guidelines for Renewal of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of

(UNOFFICIAL TRANSLATION) (Updated 2017) 2. Background and Details of Applicant Requesting Approval 1. First and last name of the applicant  Mr.  Ms.  Mrs.  Others (please specify

mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.