, the securities company shall submit such financial statement via the securities company report transmission system in accordance with the rule of practice of the Office of the Securities and Exchange

an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds

without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation: □ No □ Yes, please specify the

29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation

form through the business operator reporting system in accordance with the SEC Office of the Securities and Exchange Commission’s rule on the electronic data interchange, unless otherwise permitted by

submit the financial statements through the derivatives business operator reporting system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 5

having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1

Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling

clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as

record of contravening a regulation or condition related to securities offering in a significant matter; (b) having been rejected by the SEC Office regarding an application for an offer for sale of newly