Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
investment company or trust certificates of unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any
regulations: Clause 1. In this Notification: (1) “Gold derivatives brokerage business” means derivatives business in the category of derivatives broker limited to gold derivatives. (2) “Gold business operator
derivatives. (2) “Gold business operator” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the
Definitions of Institutional Investor, Ultra-High Net Worth Investor and High Net Worth Investor. The terms, “unit”, “ASEAN Collective Investment Scheme”, “APEC Asia Region Funds Passport”, “CIS operator”, and
operator shall submit an application for approval to the Office of the Securities and Exchange Commission together with supplementary documents in accordance with the form and procedure provided in the SEC’s
to be director or manager, the derivatives business operator shall submit an application for approval to the Office of the Securities and Exchange Commission together with supplementary documents in
) Evidence that foreign ETF and foreign ETF operator are subject to supervision of foreign regulator who is a member of the International Organization of Securities Commissions (IOSCO); (5) Certification that
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification