Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in

investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the

Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial

Republic of China and Thailand (HK-TH MRF) This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after

Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or

seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of

condition that the person giving advice does not receive a fee or a reward, either directly or indirectly, for such giving an opinion or sharing knowledge or experience, for example, not receiving a share of

in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the evidence relating to derivatives trading under the following

incriminated nor prosecuted under the laws, either Thai or foreign, on securities and exchange, finance company, securities company and credit foncier, commercial bank, life insurance, insurance or other laws

under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short