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request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for
Public. In the case where the applicant wishes to request a waiver of the rules under this Notification, the applicant shall submit a request for the waiver together with evidentiary documentation to the
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
suitable to the investment objectives, knowledge and understanding of investment, acceptable risks, and other factors of the investor. The management company must request the investor to provide such
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business
(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature
securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from appointment of its independent director to the