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

. 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

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

qualification all the time as registered derivatives business operator as follows: (1)3 registered derivatives business operator who is a commercial bank, a financial company, a securities company, or a financial

one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of

qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such

that such person obtains approval as category A investor contact according to the qualification set forth in (2) of the second paragraph of Clause 4 and the approval period shall be equal to the