first paragraph shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. “ member ” under the first paragraph means member of the Stock Exchange

that Stock Exchange or the derivatives exchange imposes penalty of fine on them. “ member ” under Paragraph 1 means a member of the Stock Exchange or the derivatives exchange , as the case may by. Clause

who applies for registration to be a derivatives business operator in the category of derivatives dealer shall specify the detail only in Part II and Part III. Date…………………........... Part I: Application

Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please

agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “ major shareholder ” means a

whose approval has been terminated under the third paragraph hereof, attends any fundamental knowledge training courses as specified in Clause 3(5) and applies for a renewal with the Office within six

minor children under rules prescribed by a securities company. Clause 24/1. In the case where it appears to the securities company that its client or a person who applies for opening a securities trading

sufficient information to make an informed investment decision. Clause 21 Provided that one of the following conditions applies, the Office may opt to exempt the application of any rules under this

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...