. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established limited company or public limited

” means gold, silver or platinum. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established

securities investment, risk management relating to securities investment or securities analysis for not less than two years within five years prior to the application date. (b) having obtained a certificate

Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization

is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the

issuance of a certificate confirming that the Hong Kong master fund is an MRF-eligible master fund, which meets the eligibility requirements listed in Annex B to the SEC Circular (“SFC Eligibility

Certification of auditor’s professional qualification Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand

record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the

operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification

of deposit issued by such bank with time to maturity not exceeding one year in accordance with the following rules and conditions: (a) deposit taker or issuer of certificate of deposit has been