: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not

custody of customers’ assets. (b) Undertaking derivatives business in the category of derivatives fund manager providing services for general investors. (4) ten million baht for undertaking derivatives

Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please

Fund manager and major unitholders of the CIS (if applicable) 1.7 Auditor 1.8 Procedures for offering of the CIS units (B) Prospectus CIS operator must prepare a wrapper in case the prospectus as

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

category of derivatives broker or derivatives fund manager or any company registered to undertake derivatives business in the category of derivatives fund manager. Clause 2. The derivatives business operator

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

regulations: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake derivatives business in the category of derivatives broker or derivatives fund manager

Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of

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